MISTY JO MCFARLANE is currently employed as a Broker and/or Investment Adviser at SIGNATOR INVESTORS, INC. located at 1511 N. WESTSHORE BLVD., SUITE 1100, TAMPA, FL, 33607.
MISTY JO MCFARLANE has worked at SIGNATOR INVESTORS, INC. since February 08, 2008
Disclosure History
MISTY JO MCFARLANE has 3 Disclosure Event(s).
Date: May 09, 2017 Category: Customer Dispute Allegations: Complainants allege they were not notified of tax consequences related to the exchange of life policies. Damage Amount Requested: $5,000.00
Date: January 11, 2017 Category: Judgment / Lien Judgment/Lien Amount: $38,497.10 Judgment/Lien Type: Tax Broker Comment: I was unaware that this was a new filing as I thought this was an extension of the existing IRS Lien that had been previously filed and disclosed on my U4.
Date: January 29, 2013 Category: Judgment / Lien Judgment/Lien Amount: $95,388.32 Judgment/Lien Type: Tax Broker Comment: Currently have an installment agreement and I am waiting on the release of lien response from the IRS. I was not aware of the lien, because to my understanding when I entered the installment agreement there wasn't a lien.
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.
To view the full report for MISTY JO MCFARLANE, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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 Removal
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.