PATRICK JOHN WITTEKIND is currently employed as a Broker and/or Investment Adviser at CENTURY SECURITIES ASSOCIATES, INC. located at 100 GEN. JOS. WHEELER STREET, POB 485, STANLEY, NC, 28164.
PATRICK JOHN WITTEKIND has worked at CENTURY SECURITIES ASSOCIATES, INC. since June 29, 2004
Disclosure History
PATRICK JOHN WITTEKIND has 2 Disclosure Event(s).
Date: June 13, 2003 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE UNAUTHORIZED AND UNSUITABLE TRADING, CHURNING OF THEIR ACCOUNTS, AND MISREPRESENTATIONS AND OMISSIONS BY THIER FA. Damage Amount Requested: $1,600,000.00 Settlement Amount: $525,000.00 Broker Comment: THE FIRM WILL FILE AN ANSWER DENYING THE ALLEGATIONS SET FORTH IN CLAIMANTS' STATEMENT OF CLAIM. 5/6/04 - THE CLAIM WAS SETTLED TO AVOID THE TIME, EXPENSE AND UNCERTAINTY INHERENT IN LITIGATION.
Date: October 09, 2002 Category: Employment Separation After Allegations Firm Name: MERRILL LYNCH Termination Type: Discharged Allegations: TERMINATED ON OCTOBER 9, 2002 WHEN THE FIRM LEARNED THAT I HAD EXERCISED DISCRETION IN A CLIENTS ACCOUNT WITHOUT THE PROPER WRITTEN AUTHORIZATION ON FILE. IN ADDITION, I HAD AN UNDISCLOSED FINANCIAL ARRANGEMENT WITH THE CLIENT.
More Information
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