PRESTON DOUGLAS RUNYAN is currently employed as a Broker and/or Investment Adviser at WORLD EQUITY GROUP, INC. located at 9120 B Ogden Ave, Brookfield, IL, 60513.
PRESTON DOUGLAS RUNYAN has worked at WORLD EQUITY GROUP, INC. since January 02, 2008
Disclosure History
PRESTON DOUGLAS RUNYAN has 4 Disclosure Event(s).
Date: November 30, 2009 Category: Regulatory
Date: November 25, 2008 Category: Regulatory
Date: August 03, 2007 Category: Employment Separation After Allegations Firm Name: SWBC INVESTMENT SERVICES, LLC Termination Type: Discharged Allegations: REPRESENTATIVE ADMITTED TO SIGNING A CLIENT'S SPOUSE'S SIGNATURE WITHOUT THE CLIENT OR THE SPOUSES PERMISSION OR KNOWLEDGE. BY DOING SO, THE SPOUSE'S POTENTIAL MONETARY BENEFITS AS THE BENEFICIARY WERE REDUCED.
Date: December 28, 2006 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT THE REPRESENTATIVE SIGNED HER HUSBANDS SIGNATURE ON AN IRA SPOUSAL CONSENT FORM. Settlement Amount: $5,000.00
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