DAVID ALAN PALENA

DAVID ALAN PALENA is currently employed as a Broker and/or Investment Adviser at RAYMOND JAMES FINANCIAL SERVICES, INC. located at 915 BROADWAY, P.O. BOX 9803 (98666-8803), VANCOUVER, WA, 98660.

DAVID ALAN PALENA has worked at RAYMOND JAMES FINANCIAL SERVICES, INC. since April 24, 2000

Disclosure History

DAVID ALAN PALENA has 1 Disclosure Event(s).

Date: December 08, 1968
Category: Criminal
Charges: CHARGE: GRAND LARCENY1-1 COUNT2-MISDEMEANOR3-GUILTY4-NOT INVESTMENT RELATED Charge Type: MISDEMEANOR
Disposition: A-CONVICTEDB-1/6/1969C-NO SENTANCE;NO PENALTYD-N/AE-N/AF-N/AG-N/A
Broker Comment: STOLEN PROPERTY PRESENT IN FRATERNITY. ARRESTED FOR THEFT BY POSSESSION. PENALTY WAIVED BY COURTS AS CONSIDERED A COLLEGE PRANK.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for DAVID ALAN PALENA, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.