EDWARD ANTHONY HUNTON is currently employed as a Broker and/or Investment Adviser at NATIONAL SECURITIES CORPORATION located at ONE UNION SQUARE 600 UNIVERSITY STREET, SUITE 2900, SEATTLE, WA, 98101.
EDWARD ANTHONY HUNTON has worked at NATIONAL SECURITIES CORPORATION since September 08, 2015
EDWARD ANTHONY HUNTON has 4 Disclosure Event(s).
Date: April 15, 2002 Category: Customer Dispute Allegations: CLIENT MAKES AN ADDITIONAL CLAIM OF CHURNING. DAMAGES ESTIMATED TO EXCEED $5000. Settlement Amount: $155,000.00
Date: November 27, 2000 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT FA ENGAGED IN UNAUTHORIZED TRADING BY EXCEEDING THE AGREEMENT THAT SHE MADE WITH THE FA WITH RESPECT TO THE EXERCISE OF DISCRETION IN THE ACCOUNT. IN ADDITION CLIENT ALLEGES THAT THE VERTEL POSITION MAINTAINED IN THE ACCOUNT WAS NOT SUITABLE. THE CLIENT ALLEGES THAT SHE WANTED TO PLACE $258,000 IN A "RISK FREE" SAFE INTEREST ACCOUNT AND THAT FA INSTEAD PLACED THESE FUNDS IN VERTEL. IN ADDITION, CLIENT ALLEGES THE FA "GOT TOO AGGRESSIVE WITH MY ACCOUNT AND OVERSTEPPED OUR AGREEMENT". THE TIME PERIOD IS APRIL 1999 TO MAY 2000. Damage Amount Requested: $300,000.00 Broker Comment: CLIENT GAVE VERBAL TIME AND PRICE DISCRETION REGARDING SPECIFIC SECURITIES WHICH WAS ADHERED TO WHILE SHE WAS TRAVELING. CLIENT TRADED AGGRESSIVELY IN AN EFFORT TO REGAIN LOSS FROM IMPAC MORTGAGE AFTER AGREEING TO THIS STRATEGY. CLIENT CHOSE TO CONTINUE USING AN AGGRESSIVE STRATEGY AFTER THE IMPAC LOSS WAS RECOUPED. CLIENT DID WELL IN VERTEL AND ACCEPTED THE RISK WHILE IT WAS GOING UP AND AGREED TO ADD TO THE POSITION. ON THE WAY DOWN THE CLIENT CHOSE TO ADD TO THE POSITION AGAINST MY ADVICE. CLIENT SPECIFIED A LIQUID NET WORTH OF $1,000,000 + AS PROOF OF SUITABILITY WHEN ADDING TO VERTEL POSITION.
Date: December 17, 1998 Category: Customer Dispute Allegations: CUSTOMER COMPLAINED THAT INVESTMENTCONSULTANT FAILED TO FOLLOW HER INSTRUCTIONS IN THAT HE ENTEREDA PURCHASE ORDER OF 20 AMERICA ONLINE PUT OPTIONS WHEN IN FACTHER ORDER WAS ALLEGEDLY FOR 10 CALLS OF THAT SECURITY. THECUSTOMER FURTHER CLAIMED THAT THE INVESTMENT CONSULTANTINITIALLY ADMITTED TO HER THAT THIS "ERROR" HAD BEEN MADE WHENCONFRONTED BY HER BUT LATER DENIED ANY WRONGDOING. CUSTOMERSEEKS IN EXCESS OF $13,000.00. Damage Amount Requested: $13,000.00 Broker Comment: AFTER THE FIRM INVESTIGATED THE ABOVEALLEGATIONS THE CLAIM WAS DENIED IN FULLNot Provided
Date: March 12, 1997 Category: Customer Dispute Allegations: UNAUTHORIZED TRADING; MISREPRESENTATON;APPROX 20M DAMAGES Damage Amount Requested: $20,000.00 Damages Granted: $21,000.00 Broker Comment: THE CIVIL LITIGATION WAS THROWN OUT OF COURT DUE TO ARBITRATION CLAUSE ON NEW ACCOUNT FORM. ARBITRATION SETTLED.
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