JAMES WALTER BECK is currently employed as a Broker and/or Investment Adviser at AMERICAN INDEPENDENT SECURITIES GROUP, LLC located at 10300 S.E. Waverley Ct. #402, Milwaukie, OR, 97222.
JAMES WALTER BECK has worked at AMERICAN INDEPENDENT SECURITIES GROUP, LLC since July 28, 2015
Disclosure History
JAMES WALTER BECK has 2 Disclosure Event(s).
Date: August 06, 1993 Category: Customer Dispute Allegations: CUSTOMER ALLEGES BEACH OF FIDUCIARY DUTY AND UNSUITABLE RECOMMENDATIONS. ALLEGED LOSS WAS $67,724, PLUS 9% INTEREST, REASONABLE ATTORNEYS' FEES AND REQUESTS PUNITIVEDAMAGES IN THE AMOUNT OF $250,000. Damage Amount Requested: $67,724.00 Settlement Amount: $33,000.00 Broker Comment: AS A COMPROMISE OF DISPUTED CLAIMS AND NOT TO BE CONSTUED AS AN ADMISSION OF FAULT OR LIABILITY, CUSTOMER RECEIVED PAYMENT OF $33,000.
Date: June 22, 1970 Category: Regulatory Initiated By: SECURITIES AND EXCHANGE COMMISSION Resolution: Consent SanctionDetails: Sanctions: Suspension Broker Comment: MY INVOLVEMENT IN THE ABOVE SITUATION WAS BECAUSE I WAS SIMPLY ONE OF THE VICE PRESIDENTS OF SALES IN THE COMPANY, A TITLE GIVEN TO ME FOR MY LARGE RETAIL PRODUCTION. I DID NOT HAVE A PRINCIPALS LICENSE. I WAS NOT DIRECTLY INVOLVEDIN THE UNREGISTERED COMMON STOCK OF P&G MANUFACTURING CO., NOR FAILURE TO ACCURATELY KEEP THE COMPANY RECORDS, NOR FAILURE TO FILE THE COMPANIES 1968 FINANCIAL CONDITION. MY FULL TIME PROFESSION WAS AS A REGISTERED REP WITH RETAIL CLIENTS. I REQUEST THIS TO BE TAKEN OFF MY RECORDS. I DID NOT ACT IN THE CAPACITY OF A SUPERVISOR.
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