PATRICIA ANN GLEASON

PATRICIA ANN GLEASON is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 5055 SW 91ST TERRACE, GAINESVILLE, FL, 32608.

PATRICIA ANN GLEASON has worked at CETERA ADVISORS LLC since May 01, 2009

Disclosure History

PATRICIA ANN GLEASON has 3 Disclosure Event(s).

Date: February 26, 2014
Category: Judgment / Lien
Judgment/Lien Amount: $206,574.38
Judgment/Lien Type: Civil
Broker Comment: I VOLUNTARLY TERMINATED MY EMPLOYMENT WITH MORGAN STANLEY AFTER LESS THAN 24 MONTHS EMPLOYMENT DUE TO A MULTITUDE OF FALSE INDUCEMENTS. ALTHOUGH I DID DOUBLE THE PRODUCTION THEY REQUESTED, THEY DID NOT LIKE THAT I QUIT AND FILED ARBITRATION. THIS IS A LIEN DUE TO BUSINESS INDIFFERENCE; NOT CLIENT RELATED.

Date: April 19, 2006
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT ROLLING OVER HIS 401 K INTO A 2005 IRA BROKERAGE ACCOUNT AND THEN UTILIZING SOME OF THE FUNDS TO REPAY OTHER DEBTS WAS NOT SUITABLE ADVICE. CLIENT ALLEGES THAT I WAS AWARE OF HIS FINANCIAL SITUATION AND THAT HE NOW OWES $18,441 TO THE IRS. CLIENT SEEKS COMPENSATION FOR DAMAGES RESULTING FROM THE IMPROPER ADVICE.
Damage Amount Requested: $18,736.00
Broker Comment: THE FIRM FOUND NO BASIS TO THE CUSTOMER COMPLAINT.

Date: October 21, 2005
Category: Customer Dispute
Allegations: CLIENT ALLEGES AGENT FILLED OUT AND SIGNED THEIR NAMES TO AN ANNUITY CHANGE OF DEALER FORM. CLIENTS ARE REQUESTING TO HAVE THEIR ACCOUNTS TRANSFERRED BACK TO THEIR CURRENT AGENT AND ASK THAT ANY FUTURE CHANGES TO THESE ACCOUNTS BE CONFIRMED TO THEM BY PHONE.
Broker Comment: THE FIRM FOUND NO BASIS TO THE COMPLAINT. ACCOUNTS HAVE BEEN TRANSFERRED AS REQUESTED.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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