MORRIS NORIAKI KUNITA is currently employed as a Broker and/or Investment Adviser at J.W. COLE FINANCIAL, INC. located at 1712 N. King Street, Honolulu, HI, 96819.
MORRIS NORIAKI KUNITA has worked at J.W. COLE FINANCIAL, INC. since May 10, 2013
Disclosure History
MORRIS NORIAKI KUNITA has 3 Disclosure Event(s).
Date: October 13, 2010 Category: Regulatory
Date: September 16, 2009 Category: Employment Separation After Allegations Firm Name: SECURITIES AMERICA, INC Termination Type: Discharged Allegations: FAILURE TO FOLLOW FIRM POLICIES AND PROCEDURES RELATING TO LICENSING AND REGISTRATION. FAILURE TO SUPERVISE WITH REGARD TO FIRM POLICIES AND PROCEDURES RELATING TO LICENSING AND REGISTRATION.
Date: August 11, 2009 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THAT HIS INVESTMENT IN PROVIDENT SHALE ROYALTIES WAS NOT SUITABLE. Damage Amount Requested: $300,000.00 Settlement Amount: $300,000.00
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