JACQUELINE LEE KULIKOWSKI is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 6490 S MCCARRAN BLVD STE E107, RENO, NV, 89509.
JACQUELINE LEE KULIKOWSKI has worked at CETERA ADVISORS LLC since August 02, 2013
JACQUELINE LEE KULIKOWSKI has 2 Disclosure Event(s).
Date: May 14, 2015 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: DUE TO DIVORCE, I LOST MY HOME VIA SHORT SALE
Date: February 11, 2009 Category: Employment Separation After Allegations Firm Name: MORGAN STANLEY Termination Type: Discharged Allegations: MS. SURRATT DEPOSITED PERSONAL FUNDS INTO A CUSTOMER'S ACCOUNT IN AN ATTEMPT TO REMEDY A TRADE ERROR. MS. SURRATT STATES THAT THE TRADE ERROR RESULTED FROM HER BEING OVERWORKED AND THAT HER DEPOSIT OF FUNDS WAS MADE BECAUSE OF HER HEIGHTENED SENSITIVITY TO TRADE ERRORS AND FOR THE PURPOSE OF AVOIDING FINANCIAL HARM TO THE CUSTOMER. MS. SURRATT ALSO STATES THAT SHE ULTIMATELY NOTIFIED MANAGEMENT OF THE SITUATION AND THE DEPOSIT WAS REMOVED AND THE TRADE CORRECTED. Broker Comment: I WAS OVERLY SENSITIVE TO TRADE ERRORS DUE TO THE TREMENDOUS WORK PRESSURE AND INTIMIDATION COMING FROM MANAGEMENT AND MY PARTNERS. I BROKE COMPANY POLICY WHEN I DISCOVERED THE SMALL ERROR AND ATTEMPTED TO INDEMNIFY THE CLIENT MYSELF. I BROUGHT WHAT I HAD DONE TO MANAGEMENT AND THEY ADVISED ME THAT I WOULD RECEIVE A LETTER OF REPRIMAND, AND WITHOUT ANY FURTHER DISCUSSION, TWO MONTHS LATER, TERMINATED ME FOR THIS INCIDENT.
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