MICKEY LEE OWENS is currently employed as a Broker and/or Investment Adviser at CFD INVESTMENTS, INC. located at 2704 S GOYER RD, Suite A, KOKOMO, IN, 46902.
MICKEY LEE OWENS has worked at CFD INVESTMENTS, INC. since January 16, 1990
MICKEY LEE OWENS has 5 Disclosure Event(s).
Date: December 01, 1995 Category: Customer Dispute Allegations: A) FORGERY OF A $90,000 ESTATE CHECK. B)SELLING UNREGISTERED SECURITIES. C) CLAIMS: 1) TREBAL DAMAGESAND ATTORNEY FEES UNDER I.C. 34-4-30-1 ET SEQ. 2) AMOUNT OFINVESTMENT WITH INTEREST PLUS ATTORNEY FEES UNDER I.C.23-2-1-19. Settlement Amount: $81,000.00 Broker Comment: I AGREED TO PAY $81,000 AT 6% FOR 240 MONTHS($580/MONTH)WHILE I BELIEVE THE ALLEGATIONS WERE TOTALLYFALSE, MY ATTORNEY ADVISED ME TO SETTLE DUE TO THE SUBSTANIALCOSTS OF TIME AND MONEY THAT WOULD BE REQUIRED TO LITIGATEREALIZING THAT EVEN THOUGH I BELIEVE THE ALLEGATIONS ARE FALSE,THERE ARE NO GUARANTEES OF WINNING. THEREFORE, I AGREED TO THESETTLEMENT.
Date: October 18, 1995 Category: Customer Dispute Allegations: FRAUD UNDER THE INDIANA SECURITIES ACT,COMMON LAW FRAUD, NEGLIGENCE IN THE OFFER AND SALE OF VARIOUSSECURITIES. Settlement Amount: $63,027.51 Broker Comment: I AGGREED TO PAY $63027.52 AT 8% FOR 73 MONTHS($1027.52/MONTH) [CUSTOMER] AGREED TO TRANSFER TO ME ITS INTERESTIN TWO REAL ESTATE INTERESTS VALUED AT APPROXIMATELY $20.000WHILE I BELIEVE THE ALLEGATIONS WERE TOTALLYFALSE, MY ATTORNEY INDICATED IT WOULD COST ME SUBSTANIAL SUMESOF TIME AND MONEY TO LITIGATE WITH NO GUARANTEE OF WINNING.THEREFORE, I AGREED TO SETTLEMENT.
Date: September 29, 1994 Category: Customer Dispute Allegations: A) DEFENDANTS HAVE BREACHED THE TERMS OF THEWRITTEN CONTRACTS OR DEPOSIT. B) DEFENDANTS HAVE FAILED TOMAKE REQUIRED DISPOSITION OF ENTRUSTED FUNDS, THE $40,000DEPOSIT. C) DEFENDANTS HAVE CONVERTED THE DEPOSITED FUNDS TOTHEIR OWN USE D) SAID INVESTMENTS ARE SECURITIES UNDER THEI.C. 23-2-1-1 ET. SEQ. (SEE ATTACHED) Damage Amount Requested: $40,000.00 Settlement Amount: $37,500.00 Broker Comment: I AGREED TO PAY $37,500 AT 6% FOR 120 MONTHS($416/MONTH)WHILE I WAS NOT PARTY TO THE TRANSACTION, NEVERMET TRAGRESSER, AND HAD NO SUPERVISORY RESPONSIBILITY ORAUTHORITY FOR THE REGISTERED REP INVOLVED, I AGREED TOSETTLEMENT SINCE MY ATTORNEY INDICATED THAT THE COST TOLITIGATE WOULD BE SUBSTANIAL IN BOTH TIME AND MONEY WITH NOGUARANTEE OF WINNING.
Date: August 31, 1993 Category: Customer Dispute Allegations: THAT THE APPLICANT AND CONTROL AFFILIATE DIDNOT PROPERLY SUPERVISE ON INDIVIDUAL WHO SOLD AN UNSUITABLEINVESTMENT. Damages Granted: $40,000.00 Broker Comment: THE CHARGES WERE Dismissed BUT THE APPLICANTWAS ASSESSED $40,000.Not Provided
Date: May 09, 1991 Category: Regulatory Initiated By: FLORIDA DIVISION OF SECURITIES AND INVESTORPROTECT*See FAQ #1* Allegations: Not Provided Resolution: Consent SanctionDetails: Sanctions: Bar Sanction Details: ON MAY 9, 1991, FLORIDA ISSUED A STIPULATION ANDCONSENT FINAL ORDER AGAINST RESPONDENT MICKEY LEE OWENS.RESPONDENT AGREES NOT TO APPLY TO THE DEPARTMENT FORREGISTRATION IN ANY CAPACITY FOR 18 MONTHS. IF HE APPLIES ANDIS GRANTED REGISTRATION AFTER THE 18-MONTH PERIOD, HE MAY SERVEONLY EXISTING CLIENTS AND WILL NOT SOLICIT OR ACCEPT ANY NEWCLIENTS FOR A PERIOD OF SIX MONTHS. CASE NO. 90-3699 PENDINGBEFORE THE DIVISION OF ADMINISTRATIVE HEARINGS SHALL BEDISMISSED AS TO RESPONDENT. RESPONDENT AGREES TO FULLYCOOPERATE WITH THE DEPARTMENT'S PROSECUTION OF CIVIL ANDADMINISTRATIVE ACTIONS AGAINST REMAINING RESPONDENTS.RESPONDENT FURTHER AGREES TO PAY $1000 TO THE DEPARTMENT TOCOVER RESPONDENT'S PROPORTIONATE SHARE OF EXAMINATION COSTS.
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 MICKEY LEE OWENS, 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