JOHN CALDERWOOD STARKE is currently employed as a Broker and/or Investment Adviser at CENTAURUS FINANCIAL, INC. located at 6416 JOSHUE TREE LANE, MECHANICSVILLE, VA, 23111.
JOHN CALDERWOOD STARKE has worked at CENTAURUS FINANCIAL, INC. since June 26, 2015
Disclosure History
JOHN CALDERWOOD STARKE has 5 Disclosure Event(s).
Date: July 13, 2012 Category: Customer Dispute Allegations: ALLEGATIONS, AS STATED IN THE COMPLAINT, SUITABILTY ISSUES SURROUNDING THE PURCHASE OF THREE REITS. THE REITS WERE PURCHASED IN JULY 2010. Damage Amount Requested: $200,000.00
Date: May 13, 2005 Category: Customer Dispute Allegations: CUSTOMER ALLEGES LOSSES AND PURCHASE OF QUESTIONABLE SECURITIES IN HER ACCOUNT. Damage Amount Requested: $387,000.00 Settlement Amount: $57,000.00 Broker Comment: THE REGISTERED REP DENIES THE ALLEGATIONS ALLEGED IN THE COMPLAINT. THE CLIENT WAS SUITABLE FOR ALL TRANSACTIONS IN THE ACCOUNT. THE CLIENT IS ATTEMPTING TO BLAME OTHERS FOR HER OWN INVESTMENT DECISIONS AND FOR MARKET CONDITIONS BEYOND ANYONE'S CONTROL.THE MATTER WAS SETTLED NOT AS AN ADMISSION OF LIABILITY BUT TO AVOID THE TIME AND EXPENSE OF LITIGATION
Date: January 13, 2003 Category: Customer Dispute Allegations: CUSTOMER ALLEGES EXCESSIVE TRADING IN THE HANDLING OF THEIR ACCOUNT Damage Amount Requested: $100,000.00 Settlement Amount: $70,000.00 Broker Comment: THE BROKER DENIES THE ALLEGATIONS. THE CUSTOMERS WERE SUITABLE FOR THE STRATEGY FOLLOWED IN THEIR ACCOUNT. THE CUSTOMERS ARE SEEKING TO BLAME OTHERS FOR THEIR OWN INVESTMENT DECISIONS. THIS MATTER HAS BEEN MOVED TO NASD ARBITRATION.THE MATTER WAS SETTLED SO AS TO AVOID THE TIME AND EXPENSE OF LLITIGATION AND NOT AS AN ADMISSION OF LIABILITY. THE BROKER WAS NOT ASKED TO CONTRIBUTE TO THE SETTLEMENT
Date: February 25, 2002 Category: Customer Dispute Allegations: THE CUSTOMER STATES HS IS A NEOPHYTE INVESTOR AND ALLEGES HE WAS PLACED IN HIGH RISK INVESTMENTS WITH NO DIVERSITY. Damage Amount Requested: $50,000.00 Settlement Amount: $23,068.90 Broker Comment: THE COMPLAINT WAS SETTLED BY INTERSECURITIES INC. I FOUND OUT AFTER THE FACT IT WAS SETTLED.
Date: February 13, 2001 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT STARKE PLACED UNAUTHORIZED TRADES AND THAT A MARGIN OPTION ACCOUNT WAS OPENED WITHOUT HER CONSENT OR KNOWLEDGE WHICH SHE DISCOVERED IN JANUARY 2001 AFTER THE ACCOUNT BEING OPEN FOR A YEAR. Damage Amount Requested: $16,000.00 Settlement Amount: $9,975.00 Broker Comment: THE COMPLAINT WAS SETTLED BY INTERSECURITIES INC. THIS WAS AGAINST MY WISHES AS I HAD THE DOCUMENTATION WHICH I HAD SENT TO INTERSECURITIES TO PROVE HER ALLEGATIONS WERE FALSE.
More Information
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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.
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