KENNETH JOHN LEACH is currently employed as a Broker and/or Investment Adviser at MID ATLANTIC CAPITAL CORPORATION located at 127 MOOSEHEAD LAKE ROAD, SUITE 207, GREENVILLE, ME, 04441.
KENNETH JOHN LEACH has worked at MID ATLANTIC CAPITAL CORPORATION since February 06, 2007
Disclosure History
KENNETH JOHN LEACH has 5 Disclosure Event(s).
Date: April 16, 1992 Category: Customer Dispute Allegations: THE CLIENTS FILED A CLAIMING ALLEGINGMISREPRESENTATION IN THE OFFERING DOCUMENTS OF VARIOUS LIMITEDPARTNERSHIPS AND BREACH OF FIDUCIARY DUTY. THE CLAIM SOUGHTDAMAGES OF $594.317 NO ALLEGATONS WERE MADE AGAINST KENNETHLEACH. Damage Amount Requested: $594,317.00 Settlement Amount: $97,000.00 Broker Comment: IN SETTLEMENT OF ALL CLAIMS, PRUDENTIALSECURITIES PAID THE [CUSTOMERS] THE SUM OF $97,000.NOT PROVIDED
Date: February 01, 1992 Category: Customer Dispute Allegations: THE [CUSTOMERS] ALLEGED THAT THEY RECEIVEDMISLEADING AND UNSUITABLE INVESTMENT ADVICE IN CONNECTION WITHCERTAIN DIRECT INVESTMENT PURCHASED THROUGH PRUDENTIALSECURITIES. THE FIRM AND I CONTENDED, HOWEVER, THAT NOT ONLYWERE ALL TRANSACTIONS CONSISTENT WITH THE [CUSTOMERS'] STATEDINVESTMENT OBJECTIVES, BUT THAT THE MAJORITY OF THETRANSACTIONS COMPLAINED - OF WERE NOT EVEN SOLICITATED TRADES. Damage Amount Requested: $100,956.32 Settlement Amount: $29,500.00 Broker Comment: THE AMOUNT WHICH PRUDENTIAL SECURITIES AGREED TOPAY THE [CUSTOMERS] IN SETTLEMENT OF THEIR CLAIMS WAS $29,500.NOT PROVIDED
Date: May 13, 1991 Category: Customer Dispute Allegations: THE CLAIMANTS ALLEGE MISREPRESENTATION IN THESALE TO THEM OF SHARES IN A MUTUAL FUND AND INTERESTS IN ALIMITED PARTNERSHIP. THEY ALSO ALLEGE THAT THEIR SIGNATURESWERE SIGNED WITHOUT AUTHORIZATION ON DOCUMENTS RELATING TOTHEIR SUBSCRIPTION FOR LIMITED PARTNERSHIP INTERESTS. ALLEGEDLOSSES IN EXCESS OF $114,000.00 Damage Amount Requested: $114,000.00 Settlement Amount: $95,000.00 Broker Comment: SETTLED COMPLAINT FOR $95,000.00.NOT PROVIDED
Date: January 31, 1990 Category: Regulatory Initiated By: MARYLAND Allegations: NA Resolution: Order SanctionDetails: Sanctions: Revocation/Expulsion/Denial Sanction Details: ORDER TO SHOW CAUSE AND SUMMARY POSTPONEMENT ISSUED ON 1/31/90, SECTION 11-412(A)(4) OFTHE ACT. KENNETH JOHN LEACH DID NOT WITHDRAW OR REQUEST AHEARING. THE FINAL ORDER OF AGENT REGISTRATION WAS ISSUED ON2/28/90. NO DOCKET/CASE NUMBER WAS GIVEN, DATED 2/28/90. Broker Comment: THE APPLICANT NEVER RECEIVED OR SIGNED FOR ACERTIFIED MAILING FROM STATE OF MARYLAND REGARDING APPLICATION. THE STATE ISSUED ORDER OF DENIAL. ALL INFORMATION WASSUBSEQUENTLY SENT.
Date: April 20, 1983 Category: Civil
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