KEVIN L FIFER is currently employed as a Broker and/or Investment Adviser at CAPITAL CITY SECURITIES, LLC located at 1335 DUBLIN ROAD, SUITE 122-D, COLUMBUS, OH, 43215.
KEVIN L FIFER has worked at CAPITAL CITY SECURITIES, LLC since August 13, 2008
KEVIN L FIFER has 12 Disclosure Event(s).
Date: February 15, 2015 Category: Customer Dispute Allegations: Fifer opened a Capital City Securities account with customers in October of 2010 and applied a Regis Asset Management fee agreement at that time. Customer began to direct investments in the account July 2011. Fee agreement was suspended September of 2012. Clients account lost value in 2012-2014 and filed arbitration in 2015. Damage Amount Requested: $32,312.41 Damages Granted: $32,312.41 Broker Comment: Representative allowed Client to direct investments in account, failed to update New Account Form, award was inconsistent(overstated)with damages, Arbitrator failed to offer explanation, and allow all testimony. All parties joint and several.
Date: July 12, 2012 Category: Regulatory Initiated By: Ohio Dept of Insurance Allegations: Individual acted as a Third Party Administrator without being licensed. Resolution: Consent SanctionDetails: Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails: Amount: $5,000.00
Date: February 28, 2012 Category: Financial Type: Bankruptcy Disposition: Dismissed
Date: September 06, 2011 Category: Judgment / Lien Judgment/Lien Amount: $80,831.03 Judgment/Lien Type: Civil Broker Comment: On 11/08/2016 Plaintiff Mockensturm filed suit in Lucas County Ohio, Case# G4801 CI 201605029000, to revoke a previous modification of this judgement. If plaintiff prevails in the case filed 11/08/2016, the disclosed judgement is unchanged. This was disclosed to BD 146001 by Fifer 4750052 on 11/11/2016.
Date: September 16, 1996 Category: Judgment / Lien Judgment/Lien Amount: $4,496.00 Judgment/Lien Type: Civil Broker Comment: Neither Individual nor Broker Dealer can verify this judgement through Clerk of Courts records or any available sources. Answers to questions regarding this judgement are implied through FINRA request for disclosure and cannot be represented by Broker Dealer as accurate or complete.
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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