FRANK DELMAR NEESE

FRANK DELMAR NEESE is currently employed as a Broker and/or Investment Adviser at INDIANA SECURITIES, LLC located at 1705 N MERIDIAN STREET, INDIANAPOLIS, IN, 46202.

FRANK DELMAR NEESE has worked at INDIANA SECURITIES, LLC since October 16, 1998

Disclosure History

FRANK DELMAR NEESE has 1 Disclosure Event(s).

Date: October 18, 2010
Category: Customer Dispute
Allegations: [CUSTOMER] PURCHASED CORP DEBT IN 2001 ($100,000) & 2003 ($123,000). HOUSING MARKET AND ECONOMY DECLINE AND ISSUING CORPORATION CLOSED IN 1/2008. [CUSTOMER] CLAIMS BREACH OF CONTRACT AND BREACH OF DUTIES OWED TO A CLIENT.
Damage Amount Requested: $250,000.00
Settlement Amount: $50,000.00

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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