JUDD AARON NORMAN is currently employed as a Broker and/or Investment Adviser at MUTUAL SECURITIES, INC. located at 8055 O STREET, SUITE 125, SUITE 125, LINCOLN, NE, 68510.
JUDD AARON NORMAN has worked at MUTUAL SECURITIES, INC. since October 22, 2013
JUDD AARON NORMAN has 1 Disclosure Event(s).
Date: April 01, 1989 Category: Customer Dispute Allegations: FRAUD, BREACH OF FIDUCIARY DUTY ANDCONVERSION. ALLEGED DAMAGES $65,000.00 - COMPENSATORY$3,000,000.00 - PUNITIVE Damage Amount Requested: $65,000.00 Settlement Amount: $65,000.00 Broker Comment: FIRM SETTLED FOR $65,000.00. BROKER DID NOTCONTRIBUTE AND ALSO SEE RESPONSE TO #9 BELOW. SHEARSON LEHMANHUTTON PAID TOTAL SETTLEMENT.ALTHOUGH I WAS NAMED IN THE SUIT, THE MAJORITY OFALLECATION CONCERNED TRADING ACTIVITY IN THE ACCOUNT WHILE ITWAS HANDLED BY ANOTHER A.E., J.W. VAN DRUNEN. I DID NOT BECOMEASSOCIATED WITH THIS ACCOUNT UNTIL AFTER J W VAN DRUNEN HAD LEFTTHE FIRM AND THE ACCOUNT WAS ASSIGNED TO MY ATTENTION. MR. VANDRUNEN HAS BEEN SUBJECT OF APPROXIMATELY 6 OTHER LAW SUITS ANDCUSTOMER COMPLAINTS, MOST OF WHICH HAVE BEEN SETTLED. MR. VANDRUNEN ALSO IS THE SUBJECT OF PENDING SRO INQUIRIES. IT IS MYUNDERSTANDING AND BELIEF THAT THIS MATTER WAS SETTLED ALMOSTEXCLUSIVELY BECAUSE OF MR. VAN DRUNENS HANDLING OF THE ACCOUNTAND OTHER PENDING MATTERS. FURTHER INFORMATION REGARDING THISMATTER CAN BE OBTAINED BY CONTACTING: MR. RICK APICELLA, ESQ.ATTORNEY WITH SHEARSON LEHMAN HUTTON, LAW DEPT. PHONE; 212-464-7200.
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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.
To view the full report for JUDD AARON NORMAN, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More