LUON QUINCY SPEARMAN

LUON QUINCY SPEARMAN is currently employed as a Broker and/or Investment Adviser at TRANSAMERICA INVESTORS SECURITIES CORPORATION located at 408 SAINT PETER STREET, SUITE 230, ST. PAUL, MN, 55102.

LUON QUINCY SPEARMAN has worked at TRANSAMERICA INVESTORS SECURITIES CORPORATION since January 20, 2016

Disclosure History

LUON QUINCY SPEARMAN has 4 Disclosure Event(s).

Date: September 12, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: April 01, 2012
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: July 17, 2009
Category: Financial
Type: Compromise
Disposition: Satisfied/Released

Date: June 23, 2002
Category: Criminal
Charges: POSSESSION OF CANNABIS (MORE THAN 30 GRAMS, BUT NOT MORE THAN 500 GRAMS)
Disposition: Reduced
Amended Charges: POSSESSION OF CANNABIS (LESS THAN 30 GRAMS)
Amended Charge Type: MISDEMEANOR Amended Charge
Amended Charge Disposition: Convicted

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.

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