DENNIS LARONE FRANKLIN is currently employed as a Broker and/or Investment Adviser at SIENA GLOBAL SECURITIES, LLC located at 2992 BURDECK DRIVE, OAKLAND, CA, 94602.
DENNIS LARONE FRANKLIN has worked at SIENA GLOBAL SECURITIES, LLC since August 24, 2011
Disclosure History
DENNIS LARONE FRANKLIN has 2 Disclosure Event(s).
Date: August 15, 2000 Category: Customer Dispute Allegations: ALLEGATION OF FAILURE TO CEASE OPERATING UNDER WRITTEN TRADING AUTHORIZATION FOR A THREE MONTH PERIOD RESULTING IN UNREALIZED LOSSES. NO SPECIFIED DAMAGES.
Date: April 01, 1993 Category: Customer Dispute Allegations: CUSTOMER FILED COMPLAINT THAT I EXERCISED DISCRETION IN EXECUTING ONE OR MORE TRANSACTIONS IN A CORPORATE ACCOUNT WITHOUT FIRST OBTAINING WRITTEN AUTHORIZATION FROM THE CUSTOMER TO DO SO. THE FIRM DID HAVE VERBAL PERMISSION AT THE TIME OF THE TRANSACTIONS. AFTER SETTLING WITH THE CLIENT IN NOVEMBER 1993, GOLDMAN SACHS REPORTED THE SETTLEMENT TO THE NYSE. THE NYSE ISSUED A NOTICE OF FINE FOR MINOR VIOLATION OF ITS RULES ON JUNE 16, 1995. A $500 FINE WAS PAID TO THE NYSE AND THE STATUS IS NOW TERMINATED. Damage Amount Requested: $1,200,000.00 Settlement Amount: $750,000.00
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