JOSEPH OMAR GEBRON

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

Disclosure History

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.

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.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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