MORDECHAI MOTI GUR

MORDECHAI MOTI GUR is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 3807 WILSHIRE BLVD STE 1040, LOS ANGELES, CA, 90010.

MORDECHAI MOTI GUR has worked at CETERA ADVISOR NETWORKS LLC since December 07, 2011

Disclosure History

MORDECHAI MOTI GUR has 2 Disclosure Event(s).

Date: July 27, 2011
Category: Employment Separation After Allegations
Firm Name: PLANMEMBER SECURITIES CORPORATION
Termination Type: Discharged
Allegations: VIOLATION OF FIRM POLICIES/PROCEDURES AND INDUSTRY STANDARDS OF CONDUCT - RR WAS TERMINATED FOR AUDIT DEFICIENCIES IN COMBINATION WITH THE RR MAINTAINING TWO SIGNED CHECKS ON BEHALF OF A CUSTOMER.
Broker Comment: KEPT 2 VOID CHECKS OF A CLIENT IN HER FILE AS SHE ASKED ME TO DO UNTIL I COULD DELIVER THE CHECKS TO HER HOME WHICH I DID AS SHE ASKED.

Date: June 15, 2001
Category: Customer Dispute
Allegations: CLIENT ALLEGED THAT I SIGNED HER NAME ON 403(B) ACCOUNT DOCUMENTS.
Damage Amount Requested: $74.56
Settlement Amount: $74.56
Broker Comment: CLIENT HAD NOT SUBSTANTIATED CLAIM. SETTLED. TRANSFERRED $400 OF THE FUNDS THAT WERE INVESTED IN THE PSC ACCOUNT TO HER EXISTING NATIONWIDE 403(B) VA. REP WILL PAY $74.56 WHICH IS THE DIFFERENCE BETWEEN THE INVESTMENT AMOUNT AND THE INITIAL INVESTMENT. TRANSFER TOOK PLACE ON 6/21/02

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