JOSEPH MICHAEL DUCOTE is currently employed as a Broker and/or Investment Adviser at CALDWELL SUTTER CAPITAL, INC. located at 30 LIBERTY SHIP WAY, #3225, SAUSALITO, CA, 94965.
JOSEPH MICHAEL DUCOTE has worked at CALDWELL SUTTER CAPITAL, INC. since July 12, 2017
Disclosure History
JOSEPH MICHAEL DUCOTE has 1 Disclosure Event(s).
Date: January 15, 1990 Category: Customer Dispute Allegations: CLAIMANTS ALLEGED BREACH OF FIDUCIARY DUTY, UNSUITABLE SECURITIES RECOMMENDATIONS AND MISREPRESENTATION IN CONNECTION WITH TRANSACTIONS IN ROBERT C. BROWN & CO., INC. CVT SUBORDINATED DEBENTURES. Damage Amount Requested: $200,000.00 Damages Granted: $188,858.20 Broker Comment: GLICKENHAUS & CO AND MYSELF WERE INSTRUCTED TO PAY TO [CUSTOMERS] THE AMOUNT OF THEIR BOND PURCHASE($188,858.20) IN EXCHANGE FOR THEIR BONDS (ROBERT C. BROWN &CO., INC. 7.50% CONVERTIBLE SUBORDINATED DEBENTURES DUE 2011),WHICH WERE DELIVERED TO US JOINTLY THE LIABILITY WAS JOINT AND SEVERAL. THE [CUSTOMERS] CONTENDED THAT THE BONDS PURCHASED FOR THEIR ACCOUNT WERE UNSUITABLE. THE ARBITRATION PANEL INSTRUCTED GLICKENHAUS & CO. AND MYSELF TO JOINTLY RETURN THE MONEY WHICH HAD BEEN PAID TO PURCHASE THE BONDS IN EXCHANGE FOR THE BONDS WHICH ARE NOW IN OUR JOINT POSSESSION.
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