KENNETH JOHN SAUNDERS is currently employed as a Broker and/or Investment Adviser at SECURITIES AMERICA, INC. located at 5850 CORAL RIDGE DR STE 314, STE 314, CORAL SPRINGS, FL, 33076.
KENNETH JOHN SAUNDERS has worked at SECURITIES AMERICA, INC. since October 24, 2017
Disclosure History
KENNETH JOHN SAUNDERS has 6 Disclosure Event(s).
Date: March 11, 2016 Category: Customer Dispute Allegations: OVER 8 YEARS AFTER ELECTING TO INVEST, CLIENT NOW CLAIMS THAT INVESTMENTS MADE IN 2007 HAD BEEN UNSUITABLE AND WERE MISREPRESENTED. Damage Amount Requested: $150,000.00 Settlement Amount: $28,000.00
Date: February 13, 2014 Category: Customer Dispute Allegations: SUITABILITY OF PRODUCTS PURCHASED IN 2006-2008. Damage Amount Requested: $99,999.00 Settlement Amount: $25,000.00 Broker Comment: MATTER SETTLED FOR THE ANTICIPATED COSTS OF DEFENSE.
Date: May 03, 2002 Category: Customer Dispute Allegations: PLAINTIFF ALLEGES THAT REPRESENTATIVE OF INVESTORS CAPITAL CORPORATION SOLD UNREGISTERD PROMISSORY NOTES. Damage Amount Requested: $260,000.00 Settlement Amount: $200,000.00
Date: June 14, 2001 Category: Customer Dispute Allegations: IMPROPER AND ILLEGAL RECOMMENDATIONS CONCERNING THE SALE OF UNREGISTERD PRODUCTS. Damage Amount Requested: $547,018.00 Settlement Amount: $465,051.00
Date: March 13, 2000 Category: Customer Dispute Allegations: IMPROPER AND ILLEGAL RECOMMENDATIONS CONCERNING THE SALE OF UNREGISTERED PRODUCTS Damage Amount Requested: $456,900.00 Settlement Amount: $305,598.00 Broker Comment: CHANGED RESPONSE TO ITEM 16 FROM WITHDRAWN TO SETTLED PER NASD INSTRUCTIONS
Date: March 09, 2000 Category: Customer Dispute Allegations: IMPROPER AND ILLEGAL RECOMMENDATIONS CONCERNING THE PURCHASE OF UNREGISTERED PRODUCTS TOTALLING $324,000. SOLDBY FOUR REPRESENTATIVES, SAUNDERS BEING ONE. Damage Amount Requested: $324,000.00 Settlement Amount: $377,923.00
More Information
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