LLOYD DOUGLAS HODGIN is currently employed as a Broker and/or Investment Adviser at CAPITAL FINANCIAL SERVICES, INC. located at 405 8TH AVE. NW, SUITE 208, ABERDEEN, SD, 57401.
LLOYD DOUGLAS HODGIN has worked at CAPITAL FINANCIAL SERVICES, INC. since February 12, 2007
Disclosure History
LLOYD DOUGLAS HODGIN has 4 Disclosure Event(s).
Date: November 09, 2015 Category: Customer Dispute Allegations: Lawsuit against entities and individuals involved with DBSI investments. Damage Amount Requested: $2,160,495.18 Settlement Amount: $200,000.00 Broker Comment: This needed to be corrected as this individual is a named respondent.
Date: October 05, 2012 Category: Customer Dispute Allegations: RECIPIANT OF ILLEGAL TRANSFERS Damages Granted: $30,000.00
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 LLOYD DOUGLAS HODGIN, click here.
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