RANDALL CALEB STAUDT is currently employed as a Broker and/or Investment Adviser at CETERA INVESTMENT SERVICES LLC located at 101 W GOODWIN AVE, SUITE 1050, VICTORIA, TX, 77901.
RANDALL CALEB STAUDT has worked at CETERA INVESTMENT SERVICES LLC since June 05, 2008
Disclosure History
RANDALL CALEB STAUDT has 1 Disclosure Event(s).
Date: May 23, 2013 Category: Customer Dispute Allegations: ALLEGATIONS THAT THE FIRM FAILED TO ESTABLISH AND IMPLEMENT ADEQUATE PROCEDURES FOR CUSTOMER IDENTIFICATION PROGRAMS, TO PREVENT THE FRAUDULENT OPENING OF AN IRA ACCOUNT AND THE FRAUDULENT TRANSFER OF FUNDS TO THAT ACCOUNT. Damage Amount Requested: $400,000.00
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