OMAR SALADIN SEDA

OMAR SALADIN SEDA is currently employed as a Broker and/or Investment Adviser at WOODSTOCK FINANCIAL GROUP, INC. located at 100 Squire Rd, Columbia, SC, 29223.

OMAR SALADIN SEDA has worked at WOODSTOCK FINANCIAL GROUP, INC. since May 14, 2015

Disclosure History

OMAR SALADIN SEDA has 3 Disclosure Event(s).

Date: October 10, 2015
Category: Customer Dispute
Allegations: Customer alleges that account document establishing and funding account were forged
Damage Amount Requested: $220.00
Settlement Amount: $370.00

Date: May 07, 2010
Category: Employment Separation After Allegations
Firm Name: SWS FINANCIAL SERVICES
Termination Type: Discharged
Allegations: FAILED TO NOTIFY SWS FINANCIAL SERVICES THAT HE WAS THE SUBJECT OF AN ONGOING INTERNAL INVESTIGATION BY HIS FORMER FIRM.

Date: March 11, 2010
Category: Employment Separation After Allegations
Firm Name: WALLSTREET*E FINANCIAL SERVICES
Termination Type: Voluntary Resignation
Allegations: MR. SEDA WAS FOUND TO HAVE UNAUTHORIZED AND UNAPPROVED ADVERTISING AND OUTSIDE BUSINESS ACTIVITIES. AN AUDIT WAS CONDUCTED ON MR. SEDA'S OFFICE WITH THE REQUEST OF INFORMATION. MR. SEDA RESIGNED FROM THE FIRM WHILE THE AUDIT WAS BEING CONDUCTED.
Broker Comment: MR. SEDA WAS FOUND TO HAVE UNAUTHORIZED AND UNAPPROVED ADVERTISING AND OUTSIDE BUSINESS ACTIVITIES. AN AUDIT WAS CONDUCTED ON MR. SEDA'S OFFICE WITH THE REQUEST OF INFORMATION. MR. SEDA RESIGNED FROM THE FIRM WHILE THE AUDIT WAS BEING CONDUCTED. THE REVIEW OF MATERIALS IS CURRENTLY UNDERWAY AS MR. SEDA PROVIDED COPIES ON 4/7/2010.

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.

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