JEFFRY SCOTT LIVINGSTON is currently employed as a Broker and/or Investment Adviser at REGAL SECURITIES, INC. located at 950 MILWAUKEE AVE., SUITE 102, CHICAGO, IL, 60025.
JEFFRY SCOTT LIVINGSTON has worked at REGAL SECURITIES, INC. since August 07, 2012
JEFFRY SCOTT LIVINGSTON has 4 Disclosure Event(s).
Date: June 18, 2012 Category: Customer Dispute Allegations: CLIENT ALLEGED EXCESSIVE AND UNAUTHORIZED TRADING. (01/01/2009-12/31/2010) ****ARBITRATION ALLEGATIONS: CLAIMANT ALLEGES INVESTMENTS MADE IN HER ACCOUNT FROM 2008 - 2010 WERE UNSUITABLE. Damage Amount Requested: $100,000.00 Settlement Amount: $30,000.00 Broker Comment: IN RESPONSE TO THE ALLEGATIONS, THE TRADE ACTIVITY WAS AUTHORIZED BY THE CLIENT PRIOR TO EACH TRADE BEING PLACED; AND THE CLIENTS WERE AWARE OF THE TRADE ACTIVITY. THE TRADE RECOMMENDATIONS MADE TO THE CLIENTS WERE SUITABLE BASED ON THE CLIENTS' INVESTMENT OBJECTIVES OF THE ACCOUNT.WITHOUT ADMITTING ANY LIABILITY, WELLS FARGO SETTLED THE MATTER FOR 30,000 TO AVOID THE EXPENSE AND UNCERTAINTY OF LITIGATION. FA JEFFRY LIVINGSTON WAS NOT A NAMED PARTY, NOR DID HE CONTRIBUTE TO THE SETTLEMENT.
Date: April 24, 2000 Category: Customer Dispute Allegations: CLIENT ALLEGES EXCESSIVE AND UNSUITABLE EQUITY TRADING TO SPECIFIC DAMAGE ARE SET ALLEGED BUT ARE REASONABLY CALCULATED BY THE FIRM AT EXCESS OF $5,000. Damage Amount Requested: $5,000.00
Date: September 29, 1998 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT CERTAIN UNSPECIFIEDEQUITY TRADES WERE ENTERED WITHOUT HER PRIOR AUTHORIZATION INHER AND HER CHILDREN'S ACCOUNTS. SPECIFIC DAMAGES WERE NOTALLEGED BUT ARE REASONABLY CALCULATED TO BE IN EXCESS OF$5,000.00. Broker Comment: THE FIRM'S INVESTIGATED THE CLAIMS AT ISSUE ANDDETERMINED THAT THEY WERE WITHOUT MERIT. HOWEVER, THE FIRMCANCELED ONE PURCHASE OF SYNTEL, INC. AT A COST OF $456.25 TOTHE FIRM BECAUSE OF ITS CONCLUSION THAT THERE HAD BEEN ANHONEST MISUNDERSTANDING BETWEEN THE PARTIES CONCERNING THATTRADE ONLY.NOT PROVIDED
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