GARY FRANKLIN POLING is currently employed as a Broker and/or Investment Adviser at PROEQUITIES, INC. located at 2432 WEST CLAY DRIVE, LEBANON, TN, 37087.
GARY FRANKLIN POLING has worked at PROEQUITIES, INC. since July 02, 2009
Disclosure History
GARY FRANKLIN POLING has 1 Disclosure Event(s).
Date: October 25, 2011 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT MR. POLING ENGAGED IN UNAUTHORIZED TRADING OVER HER ACCOUNT WHICH RESULTED IN A $15,680 LOSS ON THE 10/1/2009 SALE OF A BOND BELOW ITS MARKET VALUE. Damage Amount Requested: $15,680.00 Broker Comment: IN REVIEW OF THIS MATTER, THE FIRM FINDS THAT THERE IS NO MERIT WHATSOEVER TO THE ALLEGATIONS MADE BY THE CLIENT. THE FIRM NOTED IN ITS REVIEW THAT THIS WAS AN INVESTMENT ADVISORY WRAP FEE ACCOUNT OVER WHICH THE CLIENT HAD GRANTED DISCRETIONARY TRADING AUTHORITY TO THE REP; THEREFORE THERE WAS NOT "UNAUTHORIZED TRADING" IN HER ACCOUNT. IN REVIEW OF THE BOND SALE IN QUESTION, THE FIRM NOTED THAT THERE WAS NOT A BOND SALE, BUT RATHER A PARTIAL CALL OF 10 BONDS AT PAR. THE REMAINING 15 BONDS OF THE CLIENT'S POSITION OF THIS BOND REMAINED IN HER ACCOUNT UNTIL A SUBSEQUENT PARTIAL CALL IN DECEMBER, 2009, AND ULTIMATE MATURITY OF THE REMAINDER OF THE BOND IN JULY, 2010. THE CLAIMS WERE DENIED IN THEIR ENTIRETY.
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