JAMES MARTIN HICKEY

JAMES MARTIN HICKEY is currently employed as a Broker and/or Investment Adviser at SELECT CAPITAL CORPORATION located at 111 CORPORATE DRIVE, SUITE 120, LADERA RANCH, CA, 92694.

JAMES MARTIN HICKEY has worked at SELECT CAPITAL CORPORATION since September 30, 2011

Disclosure History

JAMES MARTIN HICKEY has 2 Disclosure Event(s).

Date: December 29, 2017
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: December 23, 2015
Category: Customer Dispute
Allegations: Allegations of failure to determine sponsor's reasonable basis suitability and failure to supervise related to the sale of a tenant-in-common real estate investment.
Damage Amount Requested: $5,710,000.00
Settlement Amount: $14,000.00
Broker Comment: Mr. Hickey was named in this arbitration simply because he was affiliated with the firm. Mr. Hickey was not a Principal of the Broker-Dealer and had no contact with the investors.

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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