KRIS ALAN PERSINGER is currently employed as a Broker and/or Investment Adviser at SUMMIT BROKERAGE SERVICES, INC. located at 4360 VAN NESS ST NW, WASHINGTON, DC, 20016.
KRIS ALAN PERSINGER has worked at SUMMIT BROKERAGE SERVICES, INC. since September 01, 2016
Disclosure History
KRIS ALAN PERSINGER has 2 Disclosure Event(s).
Date: June 13, 2000 Category: Customer Dispute Allegations: ALLEGES INVESTMENT WAS MISREPRESENTED TO HIM, AS HAVING A 5 YR LIFE, THEN LATER LEARNED THE PROJECTED LIFE IS 14 YRS. Damage Amount Requested: $6,491.00 Broker Comment: THE INVESTMENT WAS FOUND TO VE SUITABLE AND NO EVIDENCE WAS FOUND TO SUBSTANTIATE THE CUSTOMER'S CLAIM THAT THE PROJECTED LIFE OF THE INVESTMENT WAS MISREPRESENTED TO HIM.
Date: November 04, 1994 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT HE WAS GIVEN INACCURATEINFORMATION REGARDING THE MATURITIES OF VARIOUS FIXED INCOMESECURITIES PURCHASED THROUGH FIRST UNION BROKERAGE SERVICES,INC. FIRST UNION SETTLED WITH CLIENT WITHOUT BROKERS KNOWLEDGE, CONSENT, OR PARTICIPATION AND FILED A U-5 FOR BROKER WITH NO AFFIRMITIVE RESPONSES. Settlement Amount: $150,000.00 Broker Comment: CLIENT WAS UNHAPPY WITH ADVICE FROM ANOTHER DEPARTMENT AT THE BANK, BUT COMPLAINT WAS FILED UNDER MY NAME BECAUSE I WAS BROKER OF RECORD ON CLIENT'S ACCOUNT. THE MATTER WAS SETTLED WITHOUT MY INVOLVEMENT AND CLIENT DID NOT HOLD ME RESPONSIBLE. IN FACT, WHEN I SWITCHED FIRMS, CLIENT SWITCHED WITH ME.
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