PATRICK DENNIS CARROLL

PATRICK DENNIS CARROLL is currently employed as a Broker and/or Investment Adviser at WORLD EQUITY GROUP, INC. located at 735 Montgomery Street, SUITE 250, SAN FRANCISCO, CA, 94111.

PATRICK DENNIS CARROLL has worked at WORLD EQUITY GROUP, INC. since January 19, 2012

Disclosure History

PATRICK DENNIS CARROLL has 1 Disclosure Event(s).

Date: May 13, 1993
Category: Customer Dispute
Allegations: SEEKING $275,000.00 IN ACTUAL AND PUNITIVEDAMAGES AND ALLEGING CHURNING AND BREACH OF FIDUCIARY DUTY.
Damage Amount Requested: $275,000.00
Settlement Amount: $40,000.00
Broker Comment: SETTLED IN THE AMOUNT OF $40,000.00WITHOUT ADMITTING ANY WRONGDOING ON THE PART OFMR. CARROLL OR DAIN BOSWORTH THE CASE WAS SETTLED FOR$40,000.00 TO WHICH MR. CARROLL CONTRIBUTED $8400.00

More Information

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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.

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