PETER ALDEN ENGELBACH is currently employed as a Broker and/or Investment Adviser at J. ALDEN ASSOCIATES, INC. located at 261 OLD YORK ROAD, SUITE 837, JENKINTOWN, PA, 19046.
PETER ALDEN ENGELBACH has worked at J. ALDEN ASSOCIATES, INC. since May 22, 1996
Disclosure History
PETER ALDEN ENGELBACH has 5 Disclosure Event(s).
Date: September 22, 2016 Category: Regulatory
Date: January 12, 2012 Category: Regulatory
Date: March 04, 1994 Category: Employment Separation After Allegations Firm Name: PRUDENTIAL SECURITIES INCORPORATED Termination Type: Permitted to Resign Allegations: N/AIT WAS ALLEGED THAT I USED DISCRETION IN THEACCOUNT OF EVA ABRAHAMER TRUST, A NON DISCRETIONARY ACCOUNT,WITHDREW FUNDS AND FORWARDED THESE FUNDS TO MY WIFE. IT WASALSO ALLEGED THAT I FOLLOWED INSTRUCTIONS TO WITHDRAW FUNDSPURSUANT TO A LETTER OF AUTHORIZATION SIGNED BY ABRAHAMER AFTERHER DEATH. Broker Comment: TERMINATION(1) THE ACCOUNT IN QUESTION WAS OPENED IN THETRUST'S NAME PURSUANT TO THE TRUSTEE LOAN OF SECURITIES TO MYWIFE, THE TRUSTEES STEP DAUGHTER. (2) THAT I HAD THE FULLAUTHORITY TO OPEN THE ACCOUNT A ND USE THEFUNDS AS DIRECTED BYMY WIFE AND FATHER IN LAW, WHI IA SSUMED TOBE A TRUSTEE. (3)THAT THE SUBSEQUENT DEATH OF THE TRUSTEE BEFORE THE LOAN WASDUE TO BE REPAID DID NOT EFFECT THE LOAN ARRANGEMENT AND. (4)FINALLY THE TRUSTEE IN HER WILL FORGAVE THE DEBT TO HER ESTATE.I BELIEVED I WAS TAKING ORDERS FROM APPROPRIATE INDIVIDUALS.
Date: October 16, 1972 Category: Civil
Date: October 16, 1972 Category: Regulatory Initiated By: SECURITIES EXCHANGE COMMISSION Allegations: AKIYOSHI VAMADA AN INVT ADV INSTRUCTED ME TO PURCHASE SHS OFGALCO LEASING FOR SEVERAL OF HIS CLIENTS. I WROTE UP THE PURORDERS GAVE THEM TO THE OTCT TRADING DESK WHO PURCHASED THESHARES IN THE OPN MKT. THE STK WAS UNLEGEND & WAS TFRD INTOTHE NEW BUYERS NAMES. APPROX 9 MONTHS LATER DURING AN SEC INVESTIGATION OF A YAMADA WE LEARNED THESE SECURITIES WERE SOLD IMPROPERLY BY AN INSIDER. Resolution: Stipulation and Consent Broker Comment: I SIGNED A CONSENT JUDGMENT AGREEING NOT TO TRADE OR SOLICIT TO TRADE THE UNREGISTERED SECURITIES THE UNREGISTERED SECURITIES OF GLACO LEASING COMMON STK. AT THE TIME OF SIGNING THIS COMPANY NO LONGER EXITED. NO DAMAGES NOR CLAIMS WERE PAID AND NO DISCIPLINARY ACTION WAS TAKEN.
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