Date: November 02, 2012 Category: Judgment / Lien Judgment/Lien Amount: $3,112.00 Judgment/Lien Type: Tax Broker Comment: applicant in the process of settlement arrangement's with Internal Revenue.
Date: January 23, 2012 Category: Judgment / Lien Judgment/Lien Amount: $43,012.00 Judgment/Lien Type: Tax Broker Comment: applicant in the process of settlement arrangements with internal revenue.
Date: October 12, 2011 Category: Judgment / Lien Judgment/Lien Amount: $7,281.00 Judgment/Lien Type: Tax Broker Comment: applicant in the process of settlement with state of new York irs
Date: March 15, 2010 Category: Judgment / Lien Judgment/Lien Amount: $8,298.00 Judgment/Lien Type: Tax Broker Comment: applicant was not aware of judgments until notified by finra. applicant in the process of settlement arrangements with internal revenue.
Date: February 25, 2010 Category: Customer Dispute Allegations: CUSTOMER CLAIMS APPLICANT FAILED TO PLACE A STOP LOSS ORDER. Damage Amount Requested: $25,000.00 Settlement Amount: $16,000.00 Broker Comment: CUSTOMER WAS INQUIRING ABOUT A STOP LOSS ORDER WHICH WAS RESOLVED AND HAS NOW REOPENED HIS COMPLAINT WITH FINRA.THE APPLICANT DENIES ANY WRONGDOING.CUSTOMER WITHDREW COMPLAINT BASED ON SETTLEMENT TO AVOID LEGAL COSTS.
Date: June 12, 2007 Category: Customer Dispute Allegations: CUSTOMER FASLEY CLAIMED EXCESSIVE TRADING AND COMMISSION CHARGES. Damage Amount Requested: $83,185.00 Broker Comment: CUSTOMER FALSE ALLEGATIONS RESULTED IN THE COMPLAINT BEING CLOSED AND NO ACTION TAKEN.
Date: August 26, 1987 Category: Criminal Charges: ONE COUNT OF PETTY THEFT RETAIL Charge Type: MISDEMEANOR Disposition: I WAS DETAINED FOR THREE HOURS AND RELEASED. THERE WAS NO COURT APPEARANCE.ON JUNE 27, 2001 THE SAN DIEGO COUNTY SHERIFF'S DEPARTMENT WROTE THAT THEY HAD NO LOCAL ARREST RECORD. THEIR DEPARTMENT HAS A RETENTION SCHEDULE OF 7 YEARS Broker Comment: I WAS WITH FIVE PEOPLE AT A MUSIC/VIDEO STORE. SOMEONE STOLE A CASSETTE TAPE. THAT PERSON DROPPED THE TAPE WHEN THE SECURITY ALARM SOUNDED. THE POLICE ARRESTED ALL SIX OF US. THE THIEF CONFESSED HIS THEFT AND WE WERE RELEASED WITH NO FURTHER ACTIONS TAKEN AGAINST US.
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