DEAN GEORGE CAMPBELL

DEAN GEORGE CAMPBELL is currently employed as a Broker and/or Investment Adviser at SIGMA FINANCIAL CORPORATION located at 117 S. Arcade Street, Gladwin, MI, 48624.

DEAN GEORGE CAMPBELL has worked at SIGMA FINANCIAL CORPORATION since September 03, 1997

Disclosure History

DEAN GEORGE CAMPBELL has 1 Disclosure Event(s).

Date: July 07, 1997
Category: Employment Separation After Allegations
Firm Name: FIRST OF AMERICA BROKERAGE SERVICE, INC.
Termination Type: Voluntary Resignation
Allegations: E8A970866VIOLATION OF COMPANY POLICY
Broker Comment: A LONG TIME FRIEND AND CUSTOMER SOLD SOME STOCKBECAUSE SHE HAD TOO MUCH IN IT. WE TOOK THE PROCEEDS AND SOME OF THE EXCESSIVE BALANCE IN HER CHECKING ACCOUNT AND PUT IT INTO A SENIOR FIXED ANNUITY. THE CLIENT INSTRUCTED ME TO PUT MY ASSISTANT, GINA ROBACK AND MYSELF AS CO-BENEFICIARIES. THE BANK AUDITORS AND COMPLIANCE OFFICERS MET WITH HER BUT SHE TOLD THEM THATS THE WAY SHE WANTS IT. THERE WERE NO LAWS BROKEN BUT THIS WAS AGAINST COMPANY POLICY. AT THAT TIME, GINA AND I OFFERED TO THE BANK TO LET US DO A BENFICIARY CHANGE BUT THE BANK WOULD NOT BE COOPORATIVE AND SUSPENDED US. WE OFFICIALLY RESIGNED JULY 7, 1997. A COMPLETE INVESTIGATION INTO THE CIRCUMSTANCES WAS PERFORMED BY THE NASD AND IT WAS DETERMINED THAT NO ACTION WAS WARRANTED AND THE MATTER WAS, THEREFORE, CLOSED.

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