GREGORY JON WILLIAMS is currently employed as a Broker and/or Investment Adviser at PRESIDENTIAL BROKERAGE, INC. located at 5445 DTC PARKWAY, SUITE 1100, GREENWOOD VILLAGE, CO, 80111.
GREGORY JON WILLIAMS has worked at PRESIDENTIAL BROKERAGE, INC. since April 20, 2011
Disclosure History
GREGORY JON WILLIAMS has 2 Disclosure Event(s).
Date: August 19, 2009 Category: Customer Dispute Allegations: THE CLIENT ALLEGED MISREPRESENTATION WITH RESPECT TO INVESTMENTT - 2005-2009.DAMAGES UNSPECIFIED. Broker Comment: CLAIM DENIED. THIS COMPLAINT IS OVER 24 MONTHS OLD AND SHOULD BE ARCHIVED
Date: February 03, 2009 Category: Customer Dispute Allegations: CLAIMANT ALLEGES, INTER ALIA, THAT BEGINNING IN OCTOBER OF 2005 THE FINANCIAL ADVISOR MADE AN EXCESSIVE AMOUNT OF UNAUTHORIZED AND UNSUITABLE TRADES IN HER ACCOUNT. Damage Amount Requested: $90,000.00 Settlement Amount: $25,000.00 Broker Comment: MR. WILLIAMS REMAINS ADAMANT THAT THERE WAS NO WRONGDOING ON HIS PART AND THAT ALL TRADES WERE BOTH AUTHORIZED BY AND SUITABLE FOR THE CLIENT. WHILE THE FIRM ALSO BELIEVED THAT THE CLAIMS HAD NO MERIT, IT WAS DETERMINED THAT THE AMOUNT OF THE SETTLEMENT WOULD BE LESS THAN THE COST OF A SUCCESSFUL DEFENSE.
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.
To view the full report for GREGORY JON WILLIAMS, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.