PETER JOSEPH GLAAB

PETER JOSEPH GLAAB is currently employed as a Broker and/or Investment Adviser at SIGMA FINANCIAL CORPORATION located at 37229 HURON RIVER DRIVE, NEW BOSTON, MI, 48164.

PETER JOSEPH GLAAB has worked at SIGMA FINANCIAL CORPORATION since February 04, 1988

Disclosure History

PETER JOSEPH GLAAB has 2 Disclosure Event(s).

Date: January 10, 2001
Category: Customer Dispute
Allegations: CLIENT INVESTED IN A SECURITY WHICH LATER DECLARED BANKRUPTCY AND SUSPENDED DISTRIBUTIONS
Damage Amount Requested: $194,912.00
Settlement Amount: $129,000.00

Date: May 22, 2000
Category: Customer Dispute
Allegations: INVESTOR INVESTED IN A SECURITY ISSUED BY A COMPANY WHICH LATER DECLARED BANKRUPTCY. DISTRIBUTIONS HAVE BEEN SUSPENDED.
Damage Amount Requested: $60,000.00
Settlement Amount: $30,000.00
Broker Comment: NASD ARBITRATION #02233

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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