JOHN DAVID RUKENBROD is currently employed as a Broker and/or Investment Adviser at TRUSTMONT FINANCIAL GROUP, INC. located at 2800 Euclid Ave, Suite 603, Cleveland, OH, 44115.
JOHN DAVID RUKENBROD has worked at TRUSTMONT FINANCIAL GROUP, INC. since November 01, 2016
Disclosure History
JOHN DAVID RUKENBROD has 2 Disclosure Event(s).
Date: September 09, 2016 Category: Customer Dispute Allegations: Case:# 16-02311 Customer alleges that a stock certificate was issued to him without his authorization on August 28, 2007. The security in question is AMRU. Damage Amount Requested: $337,500.00 Broker Comment: I vigorously deny these allegations as I was not the broker of record when the customer requested physical delivery of his shares of AMRU in 2007. Furthermore, according to FINRA Rule 12206(a): provides a 6 year limitation on time 12206. Time Limits (a) Time Limitation on Submission of Claims No claim shall be eligible for submission to arbitration under the Code where six years have elapsed from the occurrence or event giving rise to the claim. Nine years has passed since the event in question.
Date: July 10, 2014 Category: Regulatory
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 DAVID RUKENBROD, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.