MARK ANDREW COOLEY is currently employed as a Broker and/or Investment Adviser at CADARET, GRANT & CO., INC. located at 1080 STONEY RUN ROAD, HUMMELSTOWN, PA, 17036.
MARK ANDREW COOLEY has worked at CADARET, GRANT & CO., INC. since March 11, 2009
Disclosure History
MARK ANDREW COOLEY has 1 Disclosure Event(s).
Date: November 15, 2001 Category: Employment Separation After Allegations Firm Name: EDWARD JONES Termination Type: Discharged Allegations: MR. COOLEY'S EMPLOYMENT WAS TERMINATED AFTER IT WAS CONFIRMED THAT HE HAD USED CORRESPONDENCE WITH A PROSPECT AFTER APPROVAL WAS DENIED AND HE HAD AGREED NOT TO USE THE CORRESPONDENCE. Broker Comment: I WAS TERMINATED FOR "USING" UNAPPROVED CORRESPONDENCE WITH A PROSPECT. I WAS PURSUING A LARGE COMPANY'S RETIREMENT PLAN. IN THIS PURSUIT, I DRAFTED AN INTRODUCTORY LETTER WHICH WAS INITIALLY APPROVED BY MY EMPLOYER AND LATER DENIED. I DID NOT MAIL THIS LETTER TO THE PROSPECT AS THE PROSPECT WAS ONLY PROVIDED WITH "PUBLIC APPROVED" AMERICAN FUNDS MARKETING MATERIALS. I DID VERBALLY DISCUSS SOME CONTENTS OF THIS LETTER WITH THE PROSPECT SUCH AS THE IMPORTANCE OF RETIREMENT PROGRAMS TO COMPANY ASSOCIATES. MY EMPLOYER WRONGFULLY ACCUSED ME OF DELIVERING THIS LETTER TO THE PROSPECT WHICH DID NOT OCCUR; HOWEVER, I MADE SERIOUS ERRORS IN JUDGEMENT IN MY PURSUIT OF THIS RETIRMENT PLAN. I FULLY REALIZE THAT THE SECURITIES INDUSTRY MUST RETAIN STRICT INTEGRITY WITH THE GENERAL PUBLIC BY ENSURING THAT ALL CORRESPONDENCE WITH THE PUBLIC IS PRE-APPROVED PRIOR TO USE. I VERY MUCH DESIRE TO RETURN TO THE SECURITIES INDUSTRY AS A FINANCIAL CONSULTANT AND I FEEL THAT I HAVE LEARNED GREATLY FROM THIS PREVIOUS MISTAKE.
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