KIMBERLY R. SUPERNEAU

KIMBERLY R. SUPERNEAU is currently employed as a Broker and/or Investment Adviser at CETERA INVESTMENT SERVICES LLC located at 1000 SW BROADWAY ST, STE 2170, PORTLAND, OR, 97205.

KIMBERLY R. SUPERNEAU has worked at CETERA INVESTMENT SERVICES LLC since October 05, 2009

Disclosure History

KIMBERLY R. SUPERNEAU has 1 Disclosure Event(s).

Date: July 13, 2012
Category: Customer Dispute
Allegations: CLIENTS ALLEGING FAILURE TO FOLLOW INSTRUCTIONS, UNAUTHORIZED TRADING, UNSUITABILITY OF ADVISORY ACCOUNTS, FAILURE OF FIDUCIARY RESPONSIBILITIES, UNSUITABILITY OF 1035 EXCHANGE AND THAT THEY DID NOT RECEIVE THE JNL CONTRACT. CLAIMING DAMAGES OF $7500 FROM INCURRED LONG TERM CAP GAINS ON LIQUIDATIONS OF MUTUAL FUNDS.
Damage Amount Requested: $7,500.00

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.

To view the full report for KIMBERLY R. SUPERNEAU, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.