Date: November 02, 2009 Category: Financial Type: Bankruptcy Disposition: Discharged Broker Comment: Filed with the intent to save the family home from foreclosure.
Date: July 24, 1998 Category: Customer Dispute Allegations: ACCOUNT RELATED NEGLIGENCE Settlement Amount: $192,000.00 Broker Comment: SETTLED FOR $192,000.00CLIENT HELD "TOWER NOTES" WHEN TOWERS FILEDBANKRUPTCY
Date: October 01, 1996 Category: Customer Dispute Allegations: ACCOUNT RELATED - NEGLIGENCE Settlement Amount: $192,000.00 Broker Comment: NOT PROVIDEDCLIENT HELD NOTES FOR TOWERS WHEN IT FILEDBANKRUPTCY
Date: December 07, 1995 Category: Customer Dispute Allegations: $15,000.00 DAMAGES. CLIENT HELD TOWER NOTESWHEN TOWER FILED BANKRUPTCY. Damage Amount Requested: $150,000.00 Settlement Amount: $27,570.00 Broker Comment: CHARGES DROPPED WITHOUT PREJUDICE. FIRM PAIDALL SETTLEMENT IN THE AMOUNT OF $27,570.00NOT PROVIDED
Date: October 09, 1992 Category: Customer Dispute Allegations: CLIENT [CUSTOMER] FILED COMPLAINT FOR BREACH OFCONTRACT FRAUD, NEGLIGENT MISREPRESENTATION AND SECURITIESFRAUD. Settlement Amount: $27,570.00 Broker Comment: SETTLEMENT FOR $27,570.00 (ORIGINAL INVESTMENTOF $35,000.00). [CUSTOMER] & [CUSTOMER] AFFILIATES FULLY AND FOREVERDENIED RELEASE AND DISMISS WITH PREJUDICE AND DISCLOSE FIRSTASSOCIATED SECURITIES GROUP/INC CARL MONTELLERI AND CONNIEMILLERNOT PROVIDED
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