FRANCIS JOSEPH GINGRAS is currently employed as a Broker and/or Investment Adviser at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC located at 534 EAST FRONT STREET, TRAVERSE CITY, MI, 49686.
FRANCIS JOSEPH GINGRAS has worked at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC since December 14, 1972
Disclosure History
FRANCIS JOSEPH GINGRAS has 1 Disclosure Event(s).
Date: October 12, 1992 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT A LIMITED PARTNERSHIPINVESTMENT IN 1987 WAS UNSUITABLE FOR HER AND CLAIMED DAMAGESOF $100,00. Damage Amount Requested: $100,000.00 Damages Granted: $100,000.00 Broker Comment: THE ARBITRATION PANEL RESCINDED THE INVESTMENTAND AWARDED $100,000 TO [CUSTOMER]. I WAS ORDERED TO PAY$2,000 OF THE TOTAL AWARD. I ALSO CONTRIBUTED $1,000 TO THE$5,000 PORTION OF THE AWARD WHICH WAS RENDERED JOINTLY ANDSEVERALLY AGAINST ALL RESPONDENTS.THE CUSTOMER WAS A SOPHISTICATED INVESTOR WHO METALL SUITABILITY REQUIREMENTS AND WAS FULLY ADVISED OF THE RISKSINVOLVED IN THE LIMITED PARTNERSHIP.
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