MICHAEL EDWARD HALLA is currently employed as a Broker and/or Investment Adviser at TCFG WEALTH MANAGEMENT, LLC located at 10323 Deerpark Drive, MISSOURI CITY, TX, 77459.
MICHAEL EDWARD HALLA has worked at TCFG WEALTH MANAGEMENT, LLC since December 19, 2017
MICHAEL EDWARD HALLA has 6 Disclosure Event(s).
Date: May 31, 2017 Category: Customer Dispute Allegations: CLIENT CLAIMS THE REPRESENTATIVE DID NOT PROVIDE ACCURATE PAYOUT FOR ANNUITY INHERITANCE, CAUSING A LARGE TAX LIABILITY. Settlement Amount: $21,688.00
Date: April 16, 2015 Category: Regulatory
Date: June 21, 2012 Category: Employment Separation After Allegations Firm Name: AMERIPRISE FINANCIAL SERVICES, INC. Termination Type: Permitted to Resign Allegations: ADVISOR PERMITTED TO RESIGN AFTER BEING SUSPENDED FOR COMPANY POLICY VIOLATIONS RELATED TO SHORT TERM TRADING ACTIVITY OF SYNDICATE OFFERINGS, TIME AND PRICE DISCRETION AND UNAUTHORIZED TRADING.
Date: April 09, 2012 Category: Customer Dispute Allegations: THE CLIENT ALLEGED THAT THE SALE OF BBN AND SUBSEQUENT PURCHASE OF WBBBX AND DPG IN JULY 2011 WERE UNAUTHORIZED. Damage Amount Requested: $13,998.00 Settlement Amount: $6,414.38 Broker Comment: I DID NOT PARTICIPATE IN THE SETTLEMENT AWARD AND I DO NOT AGREE WITH THE SETTLEMENT. I DID NOT USE DISCRETION. THE CLIENT GAVE APPROVAL AND DID MAKE A PROFIT ON THIS INVESTMENT.
Date: March 21, 2011 Category: Customer Dispute Allegations: CLIENTS ALLEGED THEY WERE NOT PROVIDED WITH FULL DISCLOSURE REGARDING AN ANNUITY PURCHASED IN JANUARY 2008. Damage Amount Requested: $6,961.00
Date: December 17, 2001 Category: Customer Dispute Allegations: THE CLIENTS ALLEGED THAT I DID NOT DISLCOSE THE PREMIUM FEES ASSOCIATED WITH THEIR LIFE INSURANCE POLICIES. Damage Amount Requested: $14,170.83 Broker Comment: THE FIRM FOUND I PROVIDED THE CLIENTS FULL AND FAIR DISCLOSURE OF THE SALES AND PREMIUM TAX CHARGES ASSESSED ON EACH OF THEIR INSURANCE POLICIES. THIS WAS EVIDENCED BY THEIR SIGNATURES ON THE APPLICAITONS AND REQUIRED DISCLOSURE FORMS. IN ADDITION, THEY ACKNOWLEDGED HAVING RECEIVED THE POLICY ILLUSTRATIONS AND POLICIES THEMSELVES. THE FIRM DECLINED THE CLIENTS' REQUEST FOR A REFUND OF THEIR PREMIUMS.
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.
To view the full report for MICHAEL EDWARD HALLA, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More