OTTO EVERETT RAY is currently employed as a Broker and/or Investment Adviser at CFD INVESTMENTS, INC. located at 5488 E SR 46, PROES OFFICE BUILDING, Bloomington, IN, 47401.
OTTO EVERETT RAY has worked at CFD INVESTMENTS, INC. since March 08, 2006
Disclosure History
OTTO EVERETT RAY has 1 Disclosure Event(s).
Date: April 28, 2005 Category: Employment Separation After Allegations Firm Name: FIFTH THIRD SECURITIES Termination Type: Permitted to Resign Allegations: REPRESENTATIVE USED FICTITIOUS CUSTOMER IDENTIFICATION ("CIP") DATA TO FACILITATE OPENING OF AN ACCOUNT. Broker Comment: REPRESENTATIVE USED AN OBVIOUS "DUMMY" DRIVER'S LICENSE NUMBER WHEN OPENING AN ACCOUNT AND PROVIDED THE CORRECT DL NUMBER THE DAY AFTER THE PAPERWORK WAS SUBMITTED. THE NASD OPENED AN INQUIRY INTO THE ALLEGATION AND FOUND NO VIOLATION.
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