JEFFREY THOMAS BAUER

JEFFREY THOMAS BAUER is currently employed as a Broker and/or Investment Adviser at PAYCHEX SECURITIES CORPORATION located at 2901 North Ventura Road, Suite 200, Oxnard, CA, 93036.

JEFFREY THOMAS BAUER has worked at PAYCHEX SECURITIES CORPORATION since January 05, 2015

Disclosure History

JEFFREY THOMAS BAUER has 2 Disclosure Event(s).

Date: June 29, 2009
Category: Financial
Type: Compromise
Disposition: SETTLED
Broker Comment: THIS WAS A PRIMARY RESIDENCE THAT DUE TO LOSS OF EMPLOYMENT, WAS UNABLE TO PAY. LENDER HAS SETTLED IN FULL.

Date: June 29, 2009
Category: Financial
Type: Compromise
Disposition: SETTLED
Broker Comment: THIS WAS A PRIMARY RESIDENCE THAT DUE TO LOSS OF EMPLOYMENT, WAS UNABLE TO PAY. LENDER HAS SETTLED IN FULL.

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 JEFFREY THOMAS BAUER, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.