DEBORAH L GALARNEAU is currently employed as a Broker and/or Investment Adviser at CANTELLA & CO., INC. located at 11 River Basin Lane, North Yarmouth, ME, 04097.
DEBORAH L GALARNEAU has worked at CANTELLA & CO., INC. since August 27, 2009
Disclosure History
DEBORAH L GALARNEAU has 2 Disclosure Event(s).
Date: June 06, 2002 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT CORPORATE BONDS WERE BOUGHT AND SOLD WITHOUT HIS AUTHORIZATION ON DECEMBER 7, 2000. Damage Amount Requested: $25,000.00 Broker Comment: MERRILL LYNCH FOUND THAT CUSTOMER AUTHORIZED ALL PURCHASES AND SALES. CUSTOMER INCURRED REALIZED LOSSES OF APPROXIMATELY $2650, AND NOT $25,000 AS HE ALLEGED.
Date: March 20, 1996 Category: Customer Dispute Allegations: ALLEGES VARIOUS VIOLTIONS INCLUDINGUNSUITABLE INVESTMENT RECOMMENDATIONS. DAMAGES IN EXCESS OF$175,000 ALLEGED Damage Amount Requested: $175,000.00 Settlement Amount: $25,000.00 Broker Comment: MATTER SETTLED FOR $25,000 WITH NO CONCESSION OFWRONGDOING OR LIABILITY IN ORDER TO AVOID EXPENSES ANDUNCERTAINTY OF FURTHER LITIGATIONCUSTOMER PURSUED INVESTMENTS BEARING MODERATEAND, IN SOME INSTANCE, HIGHER RISKS. CUSTOMER MADE UNSOLICITEDTRADES AND HAD SUBSTANTIAL INVESTMENT SOPHISTICATION. MATTERSETTLED AT DEEP DISCOUNT OF CLAIMED LOSSES TO AVOID EXPENSE ANDUNCERTAINTY OF FURTHER LITIGATION
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