MARK XAVIER SNIEZEK

MARK XAVIER SNIEZEK is currently employed as a Broker and/or Investment Adviser at ALLSTATE FINANCIAL SERVICES, LLC located at 12076 Central Ave NE, BLAINE, MN, 55434-3912.

MARK XAVIER SNIEZEK has worked at ALLSTATE FINANCIAL SERVICES, LLC since March 06, 2002

Disclosure History

MARK XAVIER SNIEZEK has 2 Disclosure Event(s).

Date: June 06, 2012
Category: Regulatory
Initiated By: MINNESOTA DEPARTMENT OF COMMERCE
Allegations: ALLEGATIONS INDICATE THE REPRESENTATIVE REPORTED THAT HE ATTENDED 5 CONTINUING EDUCATION COURSES TOTALING 18.75 CREDIT HOURS, WHEN ACCORDING TO THE STATE'S INVESTIGATION, THE REPRESENTATIVE DID NOT ATTEND THE COURSES AND FALSELY REPORTED THAT HE WAS IN ATTENDANCE.
Resolution: CONSENT TO ENTRY OF ORDER BY SETTLEMENT AGREEMENT SanctionDetails:
Sanctions: Civil and Administrative Penalty(ies)/Fine(s) SanctionDetails:
Amount: $5,000.00
Broker Comment: I WAS FINED FOR CONTINUING EDUCATION CREDITS SHOWN ON MY BEHALF THAT WERE NOT TAKEN. THE STATE DID NOT REQUEST THAT I MAKE THEM UP. THE STATE FELT THAT I SHOULD PERSONAL REVIEW MY TRANSCRIPT TO MAKE SURE THAT ALL SHOWN CREDITS WERE ACCURATE EVEN IF SOMEONE ELSE ENTERED FALSE INFORMATION WITHOUT MY KNOWLEDGE.

Date: January 05, 2009
Category: Judgment / Lien
Judgment/Lien Amount: $2,620.00
Judgment/Lien Type: Civil

More Information

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