MARK DAVID BROWNING is currently employed as a Broker and/or Investment Adviser at WEDBUSH SECURITIES INC. located at 101 W. BENSON, SUITE 500, ANCHORAGE, AK, 99503.
MARK DAVID BROWNING has worked at WEDBUSH SECURITIES INC. since May 01, 2009
Disclosure History
MARK DAVID BROWNING has 3 Disclosure Event(s).
Date: March 27, 2002 Category: Customer Dispute Allegations: THE CLIENT ALLEGED UNSUITABILITY WITH REGARD TO THE PURCHASES OF EQUITIES. MARCH 2000 THROUGH FEBRUARY 2002. ALLEGED DAMAGES UNSPECIFIED. Broker Comment: THE CLIENT'S CLAIM WAS DENIED.
Date: October 26, 2001 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT HE DID NOT AUTHORIZE THE USE OF MARGIN IN HIS ACCOUNT - 2000-2001.DAMAGES UNSPECIFIED. Settlement Amount: $45,750.00 Broker Comment: THE CLAIM WAS SETTLED FOR $45,750.
Date: October 03, 2001 Category: Customer Dispute Allegations: IMPROPER HANDLING OF ACCOUNTS, AS WELL AS SUITABILITY, UNAUTHORIZED TRADING AND UNAUTHORIZED AND UNSUITABLE USE OF MARGIN. Damage Amount Requested: $212,216.00 Settlement Amount: $99,150.00 Broker Comment: THE CLAIMS AGAINST MR. BROWNING WERE WITHDRAWN. THE CLAIMS AGAINST SSB WERE SETTLED FOR $99,150.
More Information
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