MEREDITH ANN MCCUTCHEN is currently employed as a Broker and/or Investment Adviser at MOODY SECURITIES, LLC located at 6363 WOODWAY SUITE 110, HOUSTON, TX, 77057.

MEREDITH ANN MCCUTCHEN has worked at MOODY SECURITIES, LLC since March 15, 2016

Disclosure History

MEREDITH ANN MCCUTCHEN has 1 Disclosure Event(s).

Date: September 13, 2017
Category: Customer Dispute
Allegations: In an arbitration naming Berthel Fisher & Company Financial Services, Inc and Concorde Investment Services, LLC, the client alleges that MS. McCutchen mishandled their account.
Settlement Amount: $44,000.00
Broker Comment: Ms. McCutchen has been named in an arbitration between Claimant, [Customer Name], and Respondents, Berthel Fisher and Concorde. She was not named as a respondent and is not otherwise a party to the arbitration, but was accused of mishandling a customer account, from March of 2015 through February of 2016, when she left Concorde. The account was inherited from her father when he retired and the client account was transferred from Berthel Fisher to Concorde.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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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