JOSEPH OMAR GEBRON is currently employed as a Broker and/or Investment Adviser at WORDEN CAPITAL MANAGEMENT LLC located at 40 Wall Street, Floor 7, New York, NY, 10005.
JOSEPH OMAR GEBRON has worked at WORDEN CAPITAL MANAGEMENT LLC since August 24, 2017
JOSEPH OMAR GEBRON has 9 Disclosure Event(s).
Date: January 11, 2013 Category: Customer Dispute Allegations: UNAUTHORIZED TRADING,MISLEADING REPRESENTATIONS AND OMISSIONS Damage Amount Requested: $820,000.00
Date: September 14, 2012 Category: Customer Dispute Allegations: COMMON LAW FRAUD, BREACH OF FIDUCIARY DUTY, SUITABILITY, GROSS NEGLIGENCE,BREAHC OF CONTRACT Damage Amount Requested: $567,500.00 12-03218
Date: September 13, 2012 Category: Customer Dispute Allegations: NEGLIGENCE,MISREPRESENTATION,BREACH OF CONTRACT Damage Amount Requested: $909,000.00 Settlement Amount: $20,000.00 12-03062
Date: February 17, 2012 Category: Customer Dispute Allegations: NEGLIGENCE,BREACH OF FIDUCIARY DUTY,AND BREACH OF CONTRACT. Damage Amount Requested: $1,000,000.00 Settlement Amount: $47,500.00 12-00449
Date: May 31, 2011 Category: Customer Dispute Allegations: UNSUITABLE RECOMMENDATIONS,VIOLATION OF COMMON LAW FRAUD, BREACH OF FIDUCIARY DUTY,NEGLIGENCE. Damage Amount Requested: $200,000.00 Settlement Amount: $45,000.00 11-02216
Date: January 05, 2010 Category: Customer Dispute Allegations: MISREPRESENTATION, OMISSIONS OF MATERIAL FACTS, FAILURE TO SUPERVISE, NEGLIGENCE, VIOLATIONS OF FAIR PRACTICE. Damage Amount Requested: $62,500.00 Settlement Amount: $9,500.00 Broker Comment: THE MATTER WAS SETTLED SOLEY FOR THE PURPOSE OF AVOIDING FURTHER COMPLICATIONS WITH MY BUSINESS AND THE EXPENSE OF LITIGATION, WITHOUT ANY ADMISSION OR FINDING OF WRONGDOING.
Date: November 20, 2009 Category: Customer Dispute Allegations: SUITABILITY, NEGLIGENCE AND GROSS NEGLIGENCE, BREACH OF FIDUCIARY DUTY. Damage Amount Requested: $362,250.00 Settlement Amount: $50,000.00 Broker Comment: PARALLEL TO THE SETTLEMENT, WE AGREED TO SETTLE THIS MATTER TO AVOID LITIGATION COSTS, WITHOUT ADMITTING ANY LIABILITY.
Date: May 02, 2008 Category: Customer Dispute Allegations: SALES PRACTICE Damage Amount Requested: $82,342.00 Settlement Amount: $7,000.00 Broker Comment: CLAIMED 82342, ACTUAL LOSS AMOUNT 45,287, CLIENT SEEKS DAMAGES, CLIENT STATES BALANCED FUND WOULD HAVE EARNED THE DIFFERENCE BETWEEN ACTUAL AND CLAIMED
Date: December 28, 1998 Category: Employment Separation After Allegations Firm Name: PACIFIC CONTINENTAL SECURITIES CORP Termination Type: Voluntary Resignation Allegations: INTERNAL INVESTIGATION ALLEGED REMOVAL 0F FIRM PROPERTY AND REPAYMENT OF LOAN ARRANGEMENTS UPON TERMINATION. Broker Comment: PACIFIC CONTINENTAL MADE ALLEGATIONS TO ASSURE THAT LOAN REPAYMENT ARRANGEMENTS WERE MADE. ON 1/27/99 THE FIRM SUBMITTED AN AMENDED U-5 INDICATING DISPUTE WAS RESOLVED.
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