MARJORIE BAUTISTA KRAUSE

MARJORIE BAUTISTA KRAUSE is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 7575 LEAVITT RD, AMHERST, OH, 44001.

MARJORIE BAUTISTA KRAUSE has worked at CETERA ADVISOR NETWORKS LLC since May 15, 1990

Disclosure History

MARJORIE BAUTISTA KRAUSE has 2 Disclosure Event(s).

Date: November 21, 2005
Category: Customer Dispute
Allegations: CUSTOMERS ALLEGE THAT THE DISTRIBUTION FROM THE ANNUITY WAS AN UNSUITABLE RECOMMENDATION BY THE REP BECAUSE IT RESULTED IN A TAXABLE EVENT. ADDITIONALLY, THE FUNDS FROM THE DISTRIBUTION WERE DEPOSITED INTO THE JOINT BROKERAGE ACCOUNT, WHICH THE CUSTOMERS ALLEGE WAS AN UNSUITABLE INVESTMENT; THE JOINT ACCOUNT WAS HELD FROM THE YEARS 1992-2005.
Damage Amount Requested: $80,000.00
Settlement Amount: $25,600.00

Date: June 27, 2005
Category: Customer Dispute
Allegations: CLIENTS ALLEGE THAT THE REPRESENTATIVE PROVIDED POOR SERVICE IN MANAGING THE ACCOUNTS, RESULTING IN MARKET LOSSES FROM THE TIME OF ACCOUNTS' INCEPTION (JUNE 2000-APRIL 2005.
Damage Amount Requested: $33,041.00

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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