PETER MICHAEL MOTT

PETER MICHAEL MOTT is currently employed as a Broker and/or Investment Adviser at WILLIAM BLAIR located at THE WILLIAM BLAIR BUILDING, 150 NORTH RIVERSIDE, CHICAGO, IL, 60606.

PETER MICHAEL MOTT has worked at WILLIAM BLAIR since April 27, 2009

Disclosure History

PETER MICHAEL MOTT has 1 Disclosure Event(s).

Date: October 19, 1995
Category: Customer Dispute
Allegations: LACK OF SUPERVISION CONCERNING LACK OFFIDUCIARY DUTY. DAMAGES $15,172 PLUS INTEREST & ATTORNEY'SFEES.
Damage Amount Requested: $15,172.00
Settlement Amount: $10,000.00
Broker Comment: KIDDER PEABODY SETTLED THIS MATTER FOR$10,000.00 UPON RECEIVING SIGNED RELEASE.THE [CUSTOMERS] PURCHASED STOCK ON 3/2/92 AT 5.30SHARE AND ON 6/2/92 AT 10.42 SHARE. THE SHARES TRADED AS HIGHAS $14.00 AND THE CLIENTS DECLINED TO SELL. TWO YEARS LATER,THE STOCK WAS SOLD AT 3.99/SHARE. THE CLIENTS NAMED PARTIESASSOCIATED WITH THE ACCOUNT AND SEVERAL OTHERS THAT WERE NOT.THOSE NAMED INCLUDED THE ORIGINAL BROKER, TWO SUCCEEDINGBROKERS, MYSELF, THE FIRM'S GENERAL COUNSEL AND KIDDER PEABODY.THE SETTLEMENT WAS REACHED FOR BUSINESS REASONS, GIVEN THECLOSURE OF KIDDER.

More Information

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