PAUL CLINTON STEIN is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 701 4TH AVE S STE 1500, LINO LAKES, MN, 55415.
PAUL CLINTON STEIN has worked at CETERA ADVISOR NETWORKS LLC since January 10, 2018
Disclosure History
PAUL CLINTON STEIN has 2 Disclosure Event(s).
Date: June 28, 2001 Category: Customer Dispute Allegations: NONSUITABILITY AND IMPROPER TIMING OF INVESTMENTS FROM APPROX. MAR. 1999 TO 2000. Damage Amount Requested: $5,000.00 Broker Comment: UNABLE TO DETERMINE EXACTLY DOLLAR AMOUNT OF ALLEGATION, BUT IS MORE THAN $5000
Date: June 28, 2001 Category: Customer Dispute Allegations: BREACH OF FIDUCIARY DUTY, VIOLATION OF NASD CONDUCT RULE 2110 AND NEGLIGENCE FOR HOLDING 100% OF CLIENT ACCOUNT IN MONEY MARKET FROM MARCH 1999 TO FEBRUARY 2000. Damage Amount Requested: $25,000.00 Settlement Amount: $20,000.00
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