MANESH N DAVE is currently employed as a Broker and/or Investment Adviser at LIBERTY PARTNERS FINANCIAL SERVICES, LLC located at 5060 CALIFORNIA AVE, SUITE 620, BAKERSFIELD, CA, 93309.
MANESH N DAVE has worked at LIBERTY PARTNERS FINANCIAL SERVICES, LLC since January 09, 2012
Disclosure History
MANESH N DAVE has 2 Disclosure Event(s).
Date: May 19, 2006 Category: Employment Separation After Allegations Firm Name: ING FINANCIAL PARTNERS INC Termination Type: Discharged Allegations: DURING THE COURSE OF AN APRIL 2006 AUDIT, ING FINANCIAL PARTNERS INC LEARNED THE REPRESENTATIVE MANESH DAVE LOANED $75,000 TO A LIFE INSURANCE CLIENT IN MARCH 2005. MR DAVE FAILED TO DISCLOSE THIS LOAN TO HIS SUPERVISOR AND FIRMS' COMPLIANCE DEPARTMENT. THE FIRM'S PROCEDURES PROHIBIT ITS REGSITERED REPRESENTATIVES FORM LENDING MONEY TO ANY CUSTOMER WHO ARE NOT IMMEDIATE FAMILY MEMBERS. Broker Comment: THE COMPLAINT OF LOANING MONEY TO A LIFE INSURANCE CLIENT WAS NOT TRUE. I NEVER LOADED MONEY TO A CLIENT. MONEY LOANED BY A RELATIVE OF MINE WAS INCORRECTLY ATTRIBUTED TO ME WHEN, IN FACT, THOSE FUNDS WERE NOT MINE AND I DID NOT MAKE ANY LOAN. THE EMPLOYMENT TERMINATION WAS UNFOUNDED.
Date: September 05, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT REGISTERED REPRESENTATIVES RECOMMENDED AND UNSUITABLE INVESTMENT. ALLEGED DAMAGES ARE ESTIMATED TO EXCEED $5000.00 Damage Amount Requested: $5,000.00 Broker Comment: THIS COMPLAINT WAS UNFOUNDED. MY COMPANY AT THE TIME ACCEPTED THE EXPLANATION OF MY CONDUCT. THE COMPLAINT WAS ULTIMATELY ADANDONED BY THE CUSTOMER AND NO ACTION WAS TAKEN AGAINST ME. THIS MATTER, WHICH OCCURRED IN 2003 IS NO LONGER PENDING.
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