PAUL CLINTON STEIN

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

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.

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

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