EDMUND GEORGE OSTIC is currently employed as a Broker and/or Investment Adviser at SUMMIT BROKERAGE SERVICES, INC. located at 2530 NORTH VALLEY DRIVE, LAS CRUCES, NM, 88007.
EDMUND GEORGE OSTIC has worked at SUMMIT BROKERAGE SERVICES, INC. since April 23, 2014
Disclosure History
EDMUND GEORGE OSTIC has 2 Disclosure Event(s).
Date: May 28, 1998 Category: Regulatory Initiated By: SC Securities Division Allegations: Applicant filed a materially incompleteapplication. Resolution: Order Sanction Details: Agreement not to reapply in SC for registrationfor a minimum of 5 days Broker Comment: I BELIEVED THE MATTER WAS TO BE HANDLED BY MYHOME OFFICE. I CALLED THE ATTORNEY GENERAL AND CLEARED UP THEMISUNDERSTANDING AND I NOW AM ABLE TO RE-APPLY.
Date: November 12, 1991 Category: Customer Dispute Allegations: RECOMMENDED A STOCK (AMERICAN SOUTHWESTMORTGAGE) PRUDENTIAL SEC HAD A BUT OPINION ON THIS STOCK. ASECONDARY OFFERING WAS BROUGHT IN THE MARKET. DURING THEOFFERING PRUDENTIAL CONTINUED TO AGGRESSIVELY RECOMMEND THESTOCK Damage Amount Requested: $32,300.00 Settlement Amount: $20,000.00 Broker Comment: THE CLIENT SETTLED WITH PRUDENTIAL FOR $20,000.THIS WAS PAID BY PRUDENTIAL SECURITIES. I DID NOT HAVE TOPARTICIPATE IN THE SETTLEMENTPRUDENTIAL OFFERED $20,000. THE CLIENT HADCOMPLAINED THAT THE LOSSES WERE $30,000 BUT SETTLED WITHPRUDENTIAL FOR $20,000
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