KAAREN DALE POWELL

KAAREN DALE POWELL is currently employed as a Broker and/or Investment Adviser at IFS SECURITIES located at 358 Broadway, Suite 202, Saratoga Springs, NY, 12866.

KAAREN DALE POWELL has worked at IFS SECURITIES since April 29, 2016

Disclosure History

KAAREN DALE POWELL has 1 Disclosure Event(s).

Date: January 31, 2013
Category: Customer Dispute
Allegations: breach of contract, breach of fiduciary duty, common law fraud, violation of Rule 10b-5 of the Securities Exchange Act, churning, suitability, violations of the Florida Securities Investor Protection Act.
Damage Amount Requested: $18,084,058.77

More Information

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.

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