ELTON EUGENE RAMBIN is currently employed as a Broker and/or Investment Adviser at HILLTOP SECURITIES INDEPENDENT NETWORK INC. located at 2600 MARKET TRACE, SUITE A, FT. SMITH, AR, 72908.
ELTON EUGENE RAMBIN has worked at HILLTOP SECURITIES INDEPENDENT NETWORK INC. since June 06, 2008
Disclosure History
ELTON EUGENE RAMBIN has 2 Disclosure Event(s).
Date: July 12, 2007 Category: Customer Dispute Allegations: ALLEGED FAILURE TO FOLLOW INSTRUCTIONS, IN THAT I SOLD THE CLIENTS SHARES INSTEAD OF TRANSFERRING THEM AS REQUESTED, RESULTING IN UNWANTED CAPITAL GAINS TAXES. LITIGATION ALLEGATIONS ARE THE SAME.DATES OF ACTIVITY: 2006-2007 Damage Amount Requested: $2,765.95 Damages Granted: $1,673.00
Date: April 10, 2002 Category: Customer Dispute Allegations: CLAIMANT ALLEGED EXCESSIVE TRADING, BREACH OF FIDUCIARY DUTY; NEGLIGENCE; FRAUD - OMISSION OF MATERIAL FACTS; FAILURE TO SUPERVISE AND DAMAGES IN EXCESS OF $300,000. Damages Granted: $20,000.00 Broker Comment: THE TOTAL AMOUNT OF THE AWARD AGAINST ALL RESPONDENTS WAS $200,000. RESPONDENTS A.G. EDWARDS AND ELTON RAMBIN ARE JOINTLY AND SEVERALLY LIABLE TO PAY CLAIMANT $20,000 COMPENSATORY DAMAGES PLUS POST AWARD INTEREST ON THIS SUM AT THE COLORADO STATUTORY RATE FROM AND INCLUDING THE DATE OF JUDGMENT (APRIL 25, 2005) THROUGH AND INCLUDING THE DATE THIS AWARD IS PAID IN FULL. CLAIMANT'S CLAIMS RESULTED FROM INVESTMENT LOSSES DURING THE TECHNOLOGY MARKET DECLINE OF OCTOBER 2000 THROUGH OCTOBER 2001. THE AWARD MADE NO FINGINGS OF INTENTIONAL WRONGDOING OF ANY KIND AND ALL CLAIMS FOR PUNITIVE DAMAGES AND ATTORNEY'S FEES WERE DENIED. THE AMOUNT AWARDED WAS SUBSTANTIALLY LESS THAN CLAIMANT SOUGHT DURING THE HEARING.
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