FRANK BENNER FALKENBURG is currently employed as a Broker and/or Investment Adviser at NBC SECURITIES, INC. located at 1927 1ST AVENUE NORTH, BIRMINGHAM, AL, 35203-0686.
FRANK BENNER FALKENBURG has worked at NBC SECURITIES, INC. since October 30, 1995
Disclosure History
FRANK BENNER FALKENBURG has 1 Disclosure Event(s).
Date: June 18, 1994 Category: Customer Dispute Allegations: LOST MONEY ON INVESTMENTS WHICH I PRESENTEDTO HIM, CUSTOMER DID NOT ALLEGE ANY SPECIFIC COMPENSATORYDAMAGES. Settlement Amount: $12,500.00 Broker Comment: SETTLED FOR $10,000 TO CUSTOMER PLUS $2,500ATTORNEY'S FEE.WHILE THE CUSTOMER DID NOT ACHIEVE ANTICIPATEDINVESTMENT RETURNS HE WAS UNABLE TO IDENTIFY MY RESPONSABILITYFOR THE OUTCOME. I BELIEVE I WOULD HAVE PREVAILED IN ANY CIVIL,ADMINISTRATIVE OR ARBITRATION PROCEEDING, BUT OFFICIALS OF MYFIRM WERE INFORMED THAT ALLOWING THIS MERITLESS CLAIM TO BE PURSUED IN ANY FORUM WOULD COST MORE IN DIRECT LEGALEXPENSES THAN WAS TO BE PAID IN THE PROPOSED SETTLEMENT.
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