DAVID KALLMAN PATON is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 400 ROBERT ST N, SUITE 1400, ST. PAUL, MN, 55101-2027.
DAVID KALLMAN PATON has worked at RBC CAPITAL MARKETS, LLC since February 03, 2006
Disclosure History
DAVID KALLMAN PATON has 2 Disclosure Event(s).
Date: December 08, 2017 Category: Customer Dispute Allegations: Client claims that an equity she purchased in 2014 was high risk and too large in size for her account. Time frame is 1/23/2014 to 12/5/2017. Damage Amount Requested: $30,000.00 Settlement Amount: $10,000.00
Date: September 05, 1996 Category: Customer Dispute Allegations: CLIENT VERBALLY ALLEGED ON 9/5/96 ANDREITERATED HER ALLEGATIONS IN WRITING ON 9/13/96 THAT THEVOLUME OF TRADING ACTIVITY IN HER ACCOUNT FROM 9/95 THROUGH1/96 WAS HIGHLY UNSUITABLE FOR A PERSON OF HER AGE ANDFINANCIAL STATUS. CLIENT ALSO ALLEGES IE RECOMMENDED SELLING`SOLID STOCKS` AND PURCHASING `HIGH RISK STOCKS` WITHOUT EVEREXPLAINING THE RISK. ALLEGED DAMAGES OF $12,200.00 Damage Amount Requested: $12,200.00 Settlement Amount: $12,200.00 Broker Comment: PAINEWEBBER SETTLED FOR $12,200.00.Not Provided
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