JEFFREY LEE EMOTO is currently employed as a Broker and/or Investment Adviser at GWN SECURITIES INC. located at 1188 BISHOP ST., STE. 2510, HONOLULU, HI, 96813.
JEFFREY LEE EMOTO has worked at GWN SECURITIES INC. since February 28, 2007
Disclosure History
JEFFREY LEE EMOTO has 1 Disclosure Event(s).
Date: January 31, 2007 Category: Employment Separation After Allegations Firm Name: RAYMOND JAMES FINANCIAL SERVICES, INC. Termination Type: Discharged Allegations: I HAD SIGNED BLANK VARIABLE ANNUITY APPLICATIONS IN A COUPLE OF CLIENT'S FOLDERS. I ALSO HAD A SIGNED BLANK NEW ACCOUNT FORM FOR RAYMOND JAMES FINANCIAL SERVICES. ALSO THERE WAS A SIGNED BLANK ACCOUNT SERVICING FORM IN ANOTHER CLIENT'S FOLDER. Broker Comment: THIS WAS THE FIRST AUDIT AS A SATELLITE OFFICE WHICH RAYMOND JAMES ESTABLISHED SINCE I RESIDE ON A DIFFERENT ISLAND FROM THE BRANCH OFFICE. I AM ON THE ISLAND OF KAUAI IN HAWAII. AFTER THE AUDIT ALL INFRACTIONS HAVE BEEN ADDRESSED.
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 LEE EMOTO, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.