DEBRA ANN FRIEND

DEBRA ANN FRIEND is currently employed as a Broker and/or Investment Adviser at LINCOLN INVESTMENT located at 5755 GRANGER ROAD, SUITE 910, INDEPENDENCE, OH, 44131.

DEBRA ANN FRIEND has worked at LINCOLN INVESTMENT since January 03, 2017

Disclosure History

DEBRA ANN FRIEND has 2 Disclosure Event(s).

Date: April 02, 2009
Category: Regulatory

Date: March 27, 2009
Category: Employment Separation After Allegations
Firm Name: VALIC FINANCIAL ADVISORS, INC.
Termination Type: Voluntary Resignation
Allegations: CUTTING AND PASTING OF SIGNATURES.
Broker Comment: ADVISOR HAD AGREED TO FINE AND SUSPENSION FROM FINRA, RELATED TO CUTTING AND PASTING OF CLIENT SIGNATURE ON CLIENT PAPERWORK. ADVISOR SUBMITTED RESIGNATION IN LIEU OF TERMINATION.

More Information

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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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