JOHN KENNETH BROWN is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 200 GRIST MILL DRIVE, BECKLEY, WV, 25801.
JOHN KENNETH BROWN has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since July 23, 2010
Disclosure History
JOHN KENNETH BROWN has 2 Disclosure Event(s).
Date: July 17, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT REP DID NOT FOLLOW HER INSTRUCTIONS TO ESTABLISH AN ESTATE ACCOUNT AND SELL ESTATE INVESTMENTS. SHE IS DEMANDING PAYMENT FOR THE REALIZED LOSS TO THE ESTATE AS A RESULT OF THE REP'S FAILURE TO SELL THE INVESTMENTS WHEN REQUESTED ON 8/20/08. Damage Amount Requested: $22,765.56 Settlement Amount: $6,601.95 Broker Comment: WITHOUT ADMITTING ANY WRONGDOING OR LIABILITY, THE FIRM AND THE REP ENTERED INTO A SETTLEMENT AGREEMENT WITH THE CLIENT FOR $6,601.95 IN EXCHANGE FOR A RELEASE OF ALL CLAIMS. THIS WAS DONE SOLELY FOR BUSINESS PURPOSES TO AVOID A COSTLY AND LENGHTY LEGAL PROCEEDING.
Date: July 14, 1989 Category: Employment Separation After Allegations Firm Name: DEAN WITTER REYNOLDS INC. Termination Type: Discharged Allegations: N/A.THE NASD IS INVESTIGATING ALLEGATIONS BYHOLSTEIN OF DEAN WITTER FOR VIOLATION OF SUITABILITY ANDCORRESPONDENCE RULES WHICH WAS DISCLOSED ON THE FORM U-5, (NASDTERMINATION NOTICE). Broker Comment: THE APPLICANT DENIES EACH OF THESE CHARGES AND ISPRESENTLY WORKING WITH THE NASD TO ADDRESS THESE ALLEGATIONS.
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