DEAN WILLIAM YOUNG is currently employed as a Broker and/or Investment Adviser at HEIM, YOUNG & ASSOCIATES, INC. located at 1256 E KINGSLEY, STE B, SPRINGFIELD, MO, 65804.
DEAN WILLIAM YOUNG has worked at HEIM, YOUNG & ASSOCIATES, INC. since December 22, 1995
Disclosure History
DEAN WILLIAM YOUNG has 2 Disclosure Event(s).
Date: September 05, 2002 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT AN UNSUITABLE INVESTMENT WAS RECOMMENDED TO HER AND THAT COMPENSATION TO THE B/D WAS NOT DISCLOSED. INVESTMENT WAS MADE IN APR, 1999. FIRM RECORDS INDICATE THAT CLIENT RECEIVED A PROSPECTUS AND THAT RISKS AND COMPENSATION WERE FULLY DISCLOSED TO HER. Damage Amount Requested: $40,000.00 Settlement Amount: $18,000.00 Broker Comment: REPRESENTATIVE AND FIRM DENY ANY LIABILITY IN CONNECTION WITH THE ALLEGATIONS, HOWEVER, IT WAS THE FIRM'S DESIRE TO SETTLE TO AVOID THE COSTS, RISKS AND POSSIBLE UNCERTAINTIES OF LITIGATION.
Date: August 17, 1995 Category: Customer Dispute Allegations: CLIENT ALLEGES FRADULENT MISREPRESENTATION,NEGLIGENT MISREPRESENTATION AND PROFESSIONAL MALPRACTICE.CLIENT ALLEGES LOSS OF $150,000 INVESTED IN VINTAGE INCOMEPARTNERS, A CALIFORNIA LIMITED PARTNERSHIP Damage Amount Requested: $150,000.00 Settlement Amount: $101,500.00 Broker Comment: PLAINTIFFS FILED VOLUNTARY DISMISSAL WITHOUTPREJUDICE ("DISMISSAL") AS TO DEAN YOUNG AND HELM & YOUNGFINANCIAL CORPORATION. A $101,500 SETTLEMENT WAS MADE TOCLIENT.YOUNG DENIED ALL MATERIAL ALLEGATIONS BY THEPLAINTIFFS AND, ON THE ADVICE OF THE LEGAL COUNSEL, POSSESSEDVALID CROSS-CLAIMS AGAINST OTHER NAMED DEFENDANTS AND THIRDPARTIES FOR, AMONG OTHER THINGS, INDEMNITY AND CONTRIBUTION.
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