DAWN MICHELLE GORDON is currently employed as a Broker and/or Investment Adviser at LINCOLN FINANCIAL SECURITIES CORPORATION located at 628 SOUTH 10TH STREET, LAS VEGAS, NV, 89101.
DAWN MICHELLE GORDON has worked at LINCOLN FINANCIAL SECURITIES CORPORATION since September 09, 1996
DAWN MICHELLE GORDON has 4 Disclosure Event(s).
Date: June 30, 2010 Category: Regulatory Initiated By: NEVADA Allegations: RESPONDENT FAILED TO AS A SALES REPRESENTATIVE TO FOLLOW THE FIRM'S POLICIES AND PROCEDURES WITH RESPECT TO OBTAINING APPROVAL FOR A SEMINAR THAT SHE HELD Resolution: Consent SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $2,500.00 Broker Comment: WITHOUT ADMITTING THE STATEMENT OF FACTS AND CONCLUSIONS OF LAW CONTAINED IN THIS ORDER, RESPONDENT CONSENTED TO THE ENTRY OF THIS ORDER. DURING A ROUTINE INSPECTION BY THE SECURITIES DIVISION OF THE NV SECRETARY OF STATE (THE "DIVISION"), IT WAS DISCOVERED THAT MY OFFICE HAD AN ISOLATED EVENT IN WHICH PRE-APPROVED FOR SEMINAR MATERIALS (A TECHNICAL VIOLATION PER THE DIVISION) HAD NOT BEEN OBTAINED PRIOR TO CONDUCTING THE SEMINAR. MY OFFICE SUBMITTED THE SEMINAR MATERIALS IN ADVANCE OF THE SEMINAR FOR APPROVAL BY THE BD. MY OFFICE HAD ROUTINELY OBTAINED APPROVAL FOR SIMILAR SEMINARS SUBMITTED IN ADVANCE TO IT BEING CONDUCTED SINCE 1997 AND HAD ALL REASON TO BELIEVE FULL APPROVAL WOULD BE GRANTED. WE HAVE HISTORY WITH THE BD SINCE 1997 OF SUBMITTED AND GRANTED APPROVAL FOR SEMINAR MATERIALS IN A TIMELY MANNER. I AGREED TO AN ADMINISTRATIVE CONSENT ORDER TO AVOID THE COST, EXPENCE AND RISK OF FURTHER ADMINISTRATIVE PROCEEDINGS. I AM HAPPY TO CLARIFY ANY FURTHER QUESTIONS YOU MAY HAVE REGARDING THIS MATTER.
Date: January 28, 2010 Category: Customer Dispute Allegations: CLAIMANT ALLEGES THE REPRESENTATIVE MADE MATERIAL OMISSIONS AND MISREPRESENTATIONS PERTAINING TO TWO VARIABLE ANNUITY CONTRACTS AND MUTUAL FUNDS SOLD IN JUNE 2007. Damage Amount Requested: $215,000.00 Settlement Amount: $218,672.00 Broker Comment: THE ARBITRATION WAS DISMISSED DUE TO AN ADMINISTRATIVE CONSENT ORDER FROM THE SECURITIES DIVISION OF THE NEVADA SECRETARY OF STATE (THE "DIVISION") TO THE BROKER/DEALER. THE BROKER/DEALER RECEIVED ACCEPTANCE OF THE OFFER OF RESTITUTION FROM THE CLAIMANT ON 7/22/10. NOTIFICATION THAT THE DISMISSAL OF THE ARBITRATION WAS SUBSEQUENTLY RECEIVED.
Date: January 28, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT THE REPRESENTATIVE MISREPRESENTED THE VARIABLE UNIVERSAL LIFE INSURANCE PRODUCT. Damage Amount Requested: $36,311.84
Date: September 10, 2001 Category: Customer Dispute Allegations: CLIENT IS COMPLAINING ABOUT MUTUAL FUND PERFORMANCE AND ALLEGES THAT SOME OF THE FUNDS MAY NOT BE SUITABLE. ALLEGED COMPENSATORY DAMAGE AMOUNT WAS NOT SPECIFIED. Broker Comment: CLIENT WAS SENT A DENIAL LETTER ON NOVEMBER 2, 2001.
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