JON SCOTT KAY

JON SCOTT KAY is currently employed as a Broker and/or Investment Adviser at J.J.B. HILLIARD, W.L. LYONS, LLC located at 3401 WEST END AVENUE SUITE 160, NASHVILLE, TN, 37203.

JON SCOTT KAY has worked at J.J.B. HILLIARD, W.L. LYONS, LLC since May 16, 1994

Disclosure History

JON SCOTT KAY has 1 Disclosure Event(s).

Date: November 19, 2008
Category: Customer Dispute
Allegations: CLIENTS ALLEGED AN ANNUITY TRANSACTION WAS UNSUITABLE AND RESULTED IN AN UNECCESSARY TAX LIABILITY.
Damage Amount Requested: $46,571.00
Settlement Amount: $20,000.00

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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