FELIX ROMAN PARK is currently employed as a Broker and/or Investment Adviser at GRF CAPITAL INVESTORS, INC. located at 6506 SOUTH LEWIS AVENUE, SUITE 160, TULSA, OK, 74136-1020.
FELIX ROMAN PARK has worked at GRF CAPITAL INVESTORS, INC. since January 29, 2010
FELIX ROMAN PARK has 11 Disclosure Event(s).
Date: November 24, 2001 Category: Customer Dispute Allegations: ALLEGED UNAUTHORIZED MARGIN AND OPTION TRADING; CHURNING; UNSUITABLE TRADES, BREACH OF FIDUCIARY DUTY; FRAUD; FEDERAL AND STATE SECURITIES LAWS VIOLATIONS. Damage Amount Requested: $303,322.93
Date: March 13, 2001 Category: Employment Separation After Allegations Firm Name: A G EDWARDS Termination Type: Discharged Allegations: PARTICIPATING IN A PRIVATE PLACEMENT WITHOUT FIRM'S PRIOR APPROVAL. Broker Comment: UNAPPROVED PURCHASE OF STOCK IN PRIVATE PLACEMENT.
Date: June 11, 1986 Category: Regulatory Initiated By: FLORIDA SEC Allegations: DENIAL OF LICENSE ON "UNWORTHINESS &DISCIPLINARY HISTORY" ON PRIME FACTOR EVIDENCE. Resolution: Consent Sanctions: IN A HEARING THE FLORIDA SEC ESTABLISHED THAT MR. PARK HAD ESTABLISHED WORTHINESS AND LICENSE WAS GRANTED. Broker Comment: SEE 8A ABOVE
Date: October 18, 1983 Category: Regulatory Initiated By: CBOT Allegations: CONDUCT INCONSISTENT WITH JUST EQUITABLOEP.O.T. DUE TO BANKRUPTCY & NYSE DISCIPLINARY ACTION. Resolution: Decision SanctionDetails: Sanctions: Denial Broker Comment: SEE # 7 ABOVE - HEARING @ CBOT DENYING LICENSE.HIRED MY OWN ATTORNEY WHO GAINED RESTRICTED LICENSE.UNRESTRICTED LICENSE HAS SINCE BEEN GRANTED.
Date: July 08, 1982 Category: Regulatory Initiated By: OKLAHOMA Resolution: Decision Broker Comment: PARK WAS THE SUBJECT OF AN INVESTIGATION BY THE OKLAHOMA SEC, WHICH WAS INITIATED IN THE SUMMER OF 1982. ON RENEWAL OF HIS OKLAHOMA LICENSE AT A.G. EDWARDS, OKLAHOMA REQUESTED A HEARING BASED UPON THE FACT THAT HE HAD A NYSE DISCIPLINE REPORT. HE THEN CHANGED FIRMS TO PORCARI, FEARNOW, & ASSOCIATES, WHERE HE REAPPLIED FOR HIS OKLAHOMA LICENSE. HE WAS THEN NOTIFIED OF THEIR INTENT TO NOT ISSUE THE LICENSE. OKLAHOMA ALLOWED HIM TO EXPLAIN THE NYSE DISCIPLINARY ACTION BY LETTER AND WAIVED THE FORMAL HEARING. HIS OKLAHOMA LICENSE WAS THEN GRANTED.
Date: October 27, 1981 Category: Regulatory
Date: February 01, 1981 Category: Regulatory Initiated By: ARIZONA SEC Allegations: DENIAL OF LICENSE BY ARIZONA 1/83 -APPLICATION WITHDRAWN AFTER NOTIFICATION OF POTENTIAL DENIALAGAIN. Resolution: Decision Sanctions: APPLICATION WAS WITHDRAWN, NO SANCTIONS LEVIED. Broker Comment: SEE#7 ABOVE
Date: January 01, 1981 Category: Customer Dispute Allegations: MISHANDLING OF AN ACCOUNT Damage Amount Requested: $5,000,000.00 Settlement Amount: $50,000.00 Broker Comment: SETTLED BY DEAN WITTER WITH PREJUDICE TO MELAWSUIT BY FORMER CLIENT [CUSTOMER] SETTLEMENT AMOUNT OF $50,000 IS APPROXIMATE. MR. PARK WAS NOT FORMALLY ADVISED OF SETTLEMENT AMOUNT, BUT WAS TOLD UNOFFICIALLY THAT THIS WAS CORRECT. MR. PARK WAS NOT INVOLVED IN ANY SETTLEMENT DISCUSSIONS AND DID NOT PAY ANY PART OF THE SETTLEMENT.
Date: February 01, 1979 Category: Regulatory Initiated By: ARKANSAS Resolution: Decision SanctionDetails: Sanctions: Revocation/Expulsion/Denial Broker Comment: NOT PROVIDED
Date: December 01, 1978 Category: Employment Separation After Allegations Firm Name: DEAN WITTER REYNOLDS, INC. Termination Type: Permitted to Resign Allegations: UNKNOWNALLEGED MARGIN VIOLATIONS & PARTICIPATION INANOTHER BROKERS ACCOUNT YIELDING UNDISCLOSED INTERESTS. ALSO,THAT I SHOULD HAVE KNOWN OF A REVERSE ENTRY IN A CUSTOMER ACCT. Broker Comment: TERMINATION - NYSE DECISION 81-99 OF OCT. 27,1981 VIOLATION OF RULE 408(A)- FINED $2000 AND SUSPENDED FRO 1MONTH DEEMED SERVED.SEE# 7 ABOVE.
Date: September 01, 1966 Category: Regulatory Initiated By: NYSE Allegations: FROM BACHE & CO REPRIMAND Resolution: Decision SanctionDetails: Sanctions: Censure Broker Comment: FAILED TO REPORT A REPRIMAND FROM BACHE & CO ONNYSE APPLICATION BECAUSE BACHE & CO NEVER COMMUNICATED THEREPRIMAND.
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