MARK EMMANUAL BODEN is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 1 BROAD STREET STE 4, SALEM, MA, 01970.
MARK EMMANUAL BODEN has worked at CETERA ADVISORS LLC since October 03, 2016
Disclosure History
MARK EMMANUAL BODEN has 1 Disclosure Event(s).
Date: August 29, 1995 Category: Customer Dispute Allegations: ALLEGATIONS: PRUDENTIAL SECURITIES FAILED TORETURN PRINCIPAL OF CUSTOMER'S FHLMC CMO AFTER IT WAS SOLD.THE ALLEGED MISSING PRINCIPAL WAS FOR $11,000 AND MISSINGINTEREST WAS FOR $124 FOR A TOTAL OF $11,124. Damage Amount Requested: $11,124.00 Settlement Amount: $12,380.03 Broker Comment: PRUDENTIAL MADE A RETURN OF PRINCIPLE TO THECUSTOMER ([CUSTOMER]) IN THE AMOUNT OF $12,380.03. PRUDENTIALPAID 100 % OF THE RETURN OF PRINCIPLE OWED TO THE CUSTOMER.THE NASD BOSTON OFFICE CLOSED THE REVIEW OF THIS MATTER ANDSTATED THAT THERE WAS NO WARRANT FOR FURTHER ACTION.THE $11,124 WAS A RETURN OF MISSING PRINCIPLEPLUS INTEREST PRUDENTIALS ACCOUNTING FAILED TO RETURN TO [CUSTOMER].
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