MARK P BRAATEN

MARK P BRAATEN is currently employed as a Broker and/or Investment Adviser at LION STREET FINANCIAL, LLC located at 20935 Swenson Dr Ste 475, Waukesha, WI, 53186.

MARK P BRAATEN has worked at LION STREET FINANCIAL, LLC since April 14, 2016

Disclosure History

MARK P BRAATEN has 2 Disclosure Event(s).

Date: August 13, 2010
Category: Financial
Type: Compromise
Disposition: COMPROMISE WITH A CREDITOR THROUGH A SHORT SALE

Date: December 04, 2006
Category: Customer Dispute
Allegations: CLIENT ALLEGES HE WAS INFORMED THAT THE RETURN ON HIS 1997 VARIABLE LIFE INSURANCE POLICY WOULD BE 12% AND AFTER 10 YEARS NO PENALTY FOR SURRENDER,WITHDRAWALS AND EXCHANGES.
Damage Amount Requested: $8,000.00
Settlement Amount: $5,702.58

More Information

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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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