JOHN RICK KALEH is currently employed as a Broker and/or Investment Adviser at OPPENHEIMER & CO. INC. located at 711 LOUISIANA STREET, 15TH FLOOR, HOUSTON, TX, 77002.
JOHN RICK KALEH has worked at OPPENHEIMER & CO. INC. since January 03, 2003
Disclosure History
JOHN RICK KALEH has 2 Disclosure Event(s).
Date: September 27, 2002 Category: Investigation Initiated By: NEW YORK STOCK EXCHANGE, INC. Description of Investigation: THE NYSE'S LETTER STATES THAT IT IS "INVESTIGATING THE CIRCUMSTANCES OF (MR. KALEH'S) DEPARTURE FROM MERRILL LYNCH, PIERCE, FENNER & SMITH INC., SPECIFICALLY INCLUDING, BUT NOT LIMITED TO, ALLEGATIONS THAT (HE) ENGAGED IN UNSUITABLE, UNAUTHORIZED AND EXCESSIVE TRADING IN THE ACCOUNTS OF CUSTOMER (HANS)ROESCHEL.
Date: November 19, 2001 Category: Customer Dispute Allegations: IT IS ALLEGED THAT DURING 1999 - 2000, MR. KALEH CHURNED CUSTOMER'S ACCOUNT MAKING UNSUITABLE INVESTMENTS ON MARGIN. Damage Amount Requested: $2,000,000.00 Settlement Amount: $600,000.00
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 JOHN RICK KALEH, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.