Date: January 20, 2006 Category: Customer Dispute Allegations: NON- SPECIFIC ALLEGATIONS (INAPPROPIATE CONDUCT, COERCION) CONCERNING PAYMENT FOR MARGIN CALLS. Damage Amount Requested: $20,883.00 Settlement Amount: $15,000.00 Broker Comment: I VEHEMENTLY DENY THESE ALLEGATIONS. THIS WAS NEVER MY CLIENT. I WAS NEVER GIVEN THE OPPORTUNITY TO RESPOND, AND UNBEKNOWNST TO ME MY FORMER EMPLOYER SETTLED THIS MATTER IN WHICH I DID NOT CONTRIBUTE.
Date: September 07, 2005 Category: Regulatory Initiated By: MONTANA STATE AUDITOR'S OFFICE SECURITIES DEPARTMENT Allegations: FAILURE TO REASONABLY SUPERVISE REPRESENTATIVE GREGG LORENZO Resolution: Consent SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $9,000.00 Sanction Details: REFRAIN FROM APPLYING FOR SECURITIES REGISTRATION IN MONTANA FOR A PERIOD OF ONE YEAR.
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