MICHAEL QUIROGA

MICHAEL QUIROGA is currently employed as a Broker and/or Investment Adviser at FIDELITY BROKERAGE SERVICES LLC located at ONE DESTINY WAY, WESTLAKE, TX, 76262.

MICHAEL QUIROGA has worked at FIDELITY BROKERAGE SERVICES LLC since July 20, 2007

Disclosure History

MICHAEL QUIROGA has 2 Disclosure Event(s).

Date: February 22, 1999
Category: Regulatory
Initiated By: TEXAS STATE SECURITIES BOARD
Allegations: Not Provided
Resolution: Order SanctionDetails:
Sanctions: Monetary/Fine SanctionDetails:
Amount: $500.00 Sanction Details: ADMINISTRATIVE DISCIPLINARY ORDER REPRIMANDINGAND FINING AN AGENT
Broker Comment: 06/1996 - I FAILED TO PROPERLY DISCLOSE MY CREDIT CARD ABUSE CHARGE UNDER THE INCORRECT ASSUMPTION THAT IT WAS NOT INVESTMENT NOR FRAUD RELATED. 08/1996 - I WAS INFORMED OF MY INCORRECT STATEMENT AND FILED AN AMENDED U4 WITH THE CORRECT RESPONSES AND DRP FORMS I HAVE FULLY DISCLOSED THE EVENTS ON EVERY REGULATORY AND NON-REGULATORY FORM SINCE.

Date: June 23, 1993
Category: Criminal
Charges: CREDIT CARD ABUSE- UNDER $500.001. 12. FELONY3. GUILTY4. N/A Charge Type: FELONY
Disposition: 3RD DEGREE CREDIT CARD ABUSE CHARGE 5 YR DEFERRED ADJUDICATION W/FINE OF $500.00 AND 200 HRS OFCOMMUNITY SERVICE AS WELL AS COURT COSTS & FEESA. CHARGES DROPPEDB. CHARGED 6/23/1993 - SENTENCED 10/22/1993C. 5 YEARS DEFERRED ADJUDICATIOND. 5 YEARSE. 10/22/1993F. $500.00 FINE + COURT COSTSG. PAID OVER ADJUDICATION PERIOD
Broker Comment: NOV 1992 - I WAS AN EMPLOYEE AT A MENS CLOTHING STORE WHEN ACOUPLE OF FRIENDS CAME IN AND PURCHASED LESS THAN $500.00 INCLOTHING WITH A CREDIT CARD WHICH I KNEW DID NOT BELONG TOTHEM. I WAS APPROACHED BY A SECURITY INVESTIGATOR FROM THE STORE I WAS EMPLOYED WITH IN 06/93 AT WHICH TIME I FULLY CO-OPERATED WITH HIS INVESTIGATION. A GUILTY PLEA WAS ISSUED AND A PLEA BARGAIN AGREED UPON BY MY LAWYER AND THE BRAZOS COUNTY D.A ON 10/22/1993. I WAS GIVEN 5 YEARS DEFERRED ADJUDICATION ALONG WITH 200 HOURS OF COMMUNITY SERVICE, A $500 FINE AND ORDERED TO PAY COURT COSTS. I SUCCESSFULLY COMPLETED ALL NECESSARY REQUIREMENTS OF MY PROBATION AND THE CHARGES WERE DROPPED IN OCTOBER 1998.

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