JAMES DONALD LARKIN is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 14997 W BELL RD STE 100, SURPRISE, AZ, 85374.
JAMES DONALD LARKIN has worked at CETERA ADVISOR NETWORKS LLC since July 01, 1983
Disclosure History
JAMES DONALD LARKIN has 2 Disclosure Event(s).
Date: July 14, 1993 Category: Customer Dispute Allegations: UNSUITABILITY Settlement Amount: $210,000.00 Broker Comment: CLAIM WAS SETTLED FOR $210,000. INDIVIDUALCONTRIBUTION $17,500. ALL CHARGES DISMISSED.BASED UPON INFORMATION AND OBJECTIVES FURNISHEDBY THE INVESTORS AT THE TIME OF THE TRANSACTIONS, THERECOMMENDED INVESTMENTS WERE SUITABLE. ECONOMIC FACTORS ANDSUBSEQUENT TAX LEGISLATION ALSO HAD AN EFFECT UPON THE SUCCESSOF THE INVESTMENTS. REPRESENTATIVE DENIES ALL ALLEGATIONS.
Date: April 01, 1993 Category: Customer Dispute Allegations: ACCOUNT RELATED NEGLIGENCE, BREACH OFFIDUCIARY DUTY, FRAUD, MISREPRESENTATION, UNSUITABILITY. Settlement Amount: $1,850,000.00 Broker Comment: CLAIMS SETTLED FOR $1,850,000 PAID BY INSURANCECOMPANY. ALL CHARGES DISMISSED.REPRESENTATIVE DENIES ALL CHARGES. CLAIMS WEREINITIATED BECAUSE OF A FAMILY FEUD OVER WHICH BENEFICIARIES OFA LARGE FAMILY TRUST SHOULD ACT AS TRUSTEES. TWO WERE NAMED BYTHE FATHER TO ACT AS TRUSTEES, AND THEY HIRED ME TO MANAGE THEASSETS. THE OTHER THREE BROUGHT SUIT. AS A RESULT THE TRUSTWAS DIVIDED INTO 5 TRUSTS, EACH BENEFICIARY RECEIVING 1/5TH.THE TWO WHO ORIGINALLY HIRED ME HAVE CONTINUED TO HAVE MEMANAGE THEIR ASSETS.
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 JAMES DONALD LARKIN, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.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.