DOUGLAS JAY EATON is currently employed as a Broker and/or Investment Adviser at FIRST ALLIED SECURITIES, INC. located at 11555 HERON BAY BLVD., SUITE 200, CORAL SPRINGS, FL, 33076.
DOUGLAS JAY EATON has worked at FIRST ALLIED SECURITIES, INC. since November 27, 2012
Disclosure History
DOUGLAS JAY EATON has 3 Disclosure Event(s).
Date: September 15, 2014 Category: Customer Dispute Allegations: CUSTOMER STATES THAT VA RECOMMENDATION IN AUGUST 2012 WAS UNSUITABLE AND NOT FULLY DISCLOSED TO HER. Broker Comment: THIS INVESTMENT WAS PURCHASED AT ADVISOR'S PRIOR FIRM; FIRST ALLIED DIRECTED HER TO NATIONAL PLANNING CORP AS THE SELLING BROKER-DEALER.
Date: March 16, 2005 Category: Customer Dispute Allegations: CLIENT ALLEGES HE WAS MISREPRESENTED ON THE SALE OF HIS 2000 VARIABLE LIFE INSURANCE POLICY WHICH HE STATES WAS PURCHASED TO FUND HIS CHILDREN'S COLLEGE EDUCATION. CLIENT ALLEGES THAT THE AGENT PROVIDED AN ILLUSTRATION SHOWING A RATE RETURN OF 10.7%. THE POLICY HAS NOT MADE RATE OF RETURN ILLUSTRATED. CLIENT HAS DECIDED TO CANCEL THE POLICY AND IS REQUESTING THAT THE FULL AMOUNT BE RETURNED. Damage Amount Requested: $36,887.84
Date: November 14, 1995 Category: Criminal Charges: LARCENY OF MOTOR VEHICLE OR TRAILER Disposition: Dismissed Broker Comment: THE CASE AROSE FROM A DISPUTE OVER AN OVERPAYMENT TO A RENTAL CAR COMPANY ON A CREDIT CARD. THE CARD COMPANY REMOVED CHARGES FROM DOUGLAS EATON'S CREDIT CARD. THE COMPANY EXERTED PRESSURE FOR RESOLUTION VIA A CRIMINAL CHARGE. RESOLUTION: MONETARY DISPUTE RECONCILED AND CHARGES DISMISSED; MONEY REFUNDED TO DOUGLAS EATON FOR THE OVERPAYMENT.
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