RANDOLPH MOORE REYNOLDS

RANDOLPH MOORE REYNOLDS is currently employed as a Broker and/or Investment Adviser at LORD ABBETT DISTRIBUTOR LLC located at 90 HUDSON STREET, JERSEY CITY, NJ, 07302.

RANDOLPH MOORE REYNOLDS has worked at LORD ABBETT DISTRIBUTOR LLC since October 03, 2003

Disclosure History

RANDOLPH MOORE REYNOLDS has 1 Disclosure Event(s).

Date: May 21, 1993
Category: Criminal
Charges: 1. FIVE COUNTS; 2. FOUR FELONY COUNTS (COUNT I: THEFT; COUNTS II - IV: FIRST DEGREE CRIMINAL TRESPASS); & 1 MISDEMEANOR COUNT (COUNT V - THEFT BY RECEIVING); 3. GUILTY PLEA TO MISDEMEANOR; FELONY COUNTS: PROVISIONAL PLEA FOLLOWED BY DISMISSAL (SEE BELOW); 4. N/A - NOT INVESTMENT RELATED Charge Type: FELONY
Disposition: FELONY COUNTS DISMISSED ON 06/15/1993(COUNTS II, III, & IV) AND 06/18/1996 (COUNT I). MISDEMEANOR SENTENCE (WHICH DID NOT INVOLVE INVESTMENT-RELATED BUSINESS): $161.00 RESTITUTION, $230.00 COURT COSTS AND PENALTIES (BOTH PAID), 250 HOURS COMMUNITY SERVICE (COMPLETED), AND 5 DAYS JAIL (COMPLETED).
Broker Comment: IN 1993, MY COUNSEL ADVISED ME THAT DISMISSAL OF THE FELONY COUNTS MADE THE CASE NON-REPORTABLE UNDER COLORADO RULES. THE 1993 CONVICTION OCCURRED MORE THAN TEN YEARS PRIOR TO THE NASD APPLICATION WHICH LED TO THE MISTAKEN BELIEF THAT IT WAS NOT REPORTABLE.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for RANDOLPH MOORE REYNOLDS, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.