OTTIS RAY SIMMONS

OTTIS RAY SIMMONS is currently employed as a Broker and/or Investment Adviser at SYMPHONIC SECURITIES LLC located at 183 COUNTY ROAD 612, NACOGDOCHES, TX, 75964.

OTTIS RAY SIMMONS has worked at SYMPHONIC SECURITIES LLC since June 02, 2010

Disclosure History

OTTIS RAY SIMMONS has 1 Disclosure Event(s).

Date: December 11, 1996
Category: Employment Separation After Allegations
Firm Name: MASS MUTUAL LIFE INSURANCE COMPANY
Termination Type: Permitted to Resign
Allegations: FALSE FLEXIBLE SPENDING ACCOUNT CLAIM
Broker Comment: I HAD $1,300 IN MY FLEXIBLE SPEDNING ACCOUNT. I SUBMITTED A FALSE CLAIM TO RECOVER THE MONEY. THIS WAS A SEVERE ERROR IN MY JUDGMENT AND I AM SORRY AND EMBARRASSED OVER THIS. IT CERTAINLY IS NOT INDICATIVE OF MY CHARACTER AS A CITIZEN, AGENT, ETC.

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 OTTIS RAY SIMMONS, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.