KENNETH GEORGE MENDOZA

KENNETH GEORGE MENDOZA is currently employed as a Broker and/or Investment Adviser at ROYAL ALLIANCE ASSOCIATES, INC. located at 35 COLD SPRING ROAD, SUITE 114, ROCKY HILL, CT, 06067.

KENNETH GEORGE MENDOZA has worked at ROYAL ALLIANCE ASSOCIATES, INC. since November 19, 1989

Disclosure History

KENNETH GEORGE MENDOZA has 1 Disclosure Event(s).

Date: March 31, 1995
Category: Customer Dispute
Allegations: ON 3/31/95, THE CLIENT FELT THE LIMITED PARTNERSHIP INVESTMENTS THAT WERE RECOMMENDED AND THEN PURCHASED WERE UNSUITABLE. THERE WERE NO SPECIFIC AMOUNT OF ALLEGED DAMAGES OR CLAIMS. $11,000 WAS RETURNED TO THE CLIENT WHICH REPRESENTED THE AMOUNT OF COMMISSIONS AND FEES PAID AND THE COMPLAINT WAS WITHDRAWN ON 10/16/95.THIS IS THE ONLY COMPLAINT I'VE EVER RECEIVED IN THE SECURITIES BUSINESS. I FEEL THAT I MADE MY RECOMMENDATIONS AFTER A VERY THOROUGH ANALYSIS OF THE CLIENT'S FINANCIAL CIRCUMSTANCES CONSIDERING THEIR EXISTING INVESTMENTS, CURRENT INCOME, OBJECTIVES, RISK ANALYSIS, AND THE INVESTMENT ENVIRONMENT AT THE TIME. I ALSO FEEL THAT THEY WERE FULLY AWARE OF THE RISKS AND ILLIQUIDITY WITH THESE INVESTMENTS BASED ON THE THOROUGHNESS OF OUR REVIEW, AS WELL AS THEIR PREVIOUS INVESTMENT EXPERIENCE. AS ACCREDITIED INVESTORS, THEY ACKNOWLEDGED THAT THEY HAD SUCH KNOWLEDGE AND EXPERIENCE IN FINANCIAL MATTERS AND THAT THEY WERE CAPABLE OF EVALUATING THE MERITS AND RISKS OF THE INVESTMENTS.
Settlement Amount: $11,000.00

More Information

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