EVERETT WAYNE COPELIN is currently employed as a Broker and/or Investment Adviser at PROEQUITIES, INC. located at 514 BROOKS STREET, SUGAR LAND, TX, 77478.
EVERETT WAYNE COPELIN has worked at PROEQUITIES, INC. since September 02, 1997
Disclosure History
EVERETT WAYNE COPELIN has 2 Disclosure Event(s).
Date: November 20, 1997 Category: Customer Dispute Allegations: OMISSION OF FACTS, BREACH OF FIDUCIARY DUTY, MISREPRESENTATION AND SUITABILITY Damage Amount Requested: $100,000.00 Damages Granted: $50,000.00 Broker Comment: AWARD TO CUSTOMER IN THE AMOUNT OF 50,000.00
Date: January 11, 1994 Category: Judgment / Lien Judgment/Lien Amount: $105,173.00 Judgment/Lien Type: Civil Broker Comment: MY UNDERSTANDING IS THAT SMITH BARNEY FILED LEGAL ACTION WHEN I WAS OUT OF THE SECURITIES INDUSTRY AND LIVING/WORKING IN CHINA. IN THE SPRING OF 1993 I RECEIVED NOTICE THAT I WAS TO APPEAR IN COURT IN HOUSTON. BY THE TIME THE MAIL REACHED ME IN CHINA, IT WAS THREE DAYS FROM THE COURT APPEARANCE DATE. GIVEN THE DIFFICULTY OF TRAVEL IN CHINA AT THAT TIME, PHYSICALLY, I COULDN'T HAVE MADE THE COURT DATE. I RETURNED TO THE SECURITIES INDUSTRY IN THE FALL 1993. I NOTE THAT THE DATE OF THE JUDGMENT IS 01/11/1994, BUT BY THEN I HAD BEEN BACK IN AMERICA ABOUT FOUR MONTHS AND HADN'T HEARD ANYTHING ELSE ABOUT THIS. THEN, IN 1995 OR 1996 A SMITH BARNEY ATTORNEY CALLED ME FROM NEW YORK. AFTER I EXPLAINED THE CIRCUMSTANCES FROM THE SPRING OF 1990 TO THE PRESENT (1995 OR 1996 AT THAT TIME) HE INDICATED THAT SMITH BARNEY WOULD NOT PURSUE THE MATTER ANY FURTHER. I NEVER HEARD ANOTHER WORD ABOUT THE MATTER UNTIL NOW, TWENTY YEARS LATER. COURT RECORDS DO NOT INDICATE THAT THE JUDGMENT HAS BEEN RESOLVED - EVEN THOUGH BACK IN THE MID-1990S THEIR LAWYER TOLD ME THAT THEY WOULD NO LONGER BE PURSUING THE MATTER. FOR ALL INTENTS AND PURPOSES SMITH BARNEY AS A COMPANY NO LONGER EXISTS AS IT WAS SOLD OUT TO ANOTHER FIRM.
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