REGAN SHIGEO YAMADA is currently employed as a Broker and/or Investment Adviser at CUSO FINANCIAL SERVICES, L.P. located at 98-150 KAONOHI STREET, AIEA, HI, 96701.
REGAN SHIGEO YAMADA has worked at CUSO FINANCIAL SERVICES, L.P. since May 18, 2015
Disclosure History
REGAN SHIGEO YAMADA has 1 Disclosure Event(s).
Date: October 09, 2013 Category: Employment Separation After Allegations Firm Name: LPL FINANCIAL LLC Termination Type: Discharged Allegations: RELATED BANK PROGRAM TERMINATED MR. YAMADA FOR IMPERSONATING A CLIENT ON A TELEPHONE CALL TO ANOTHER INVESTMENT FIRM. Broker Comment: I WOULD LIKE TO CLARIFY THE DETAILS SURROUNDING THE INCIDENT. FIRST OF ALL, THE INFORMATION I WAS ACQUIRING ON BEHALF OF MY CLIENT WAS ONLY FOR THE NAME AND ADDRESS OF THE RELINQUISHING INVESTMENT FIRM IN ORDER TO COMPLETED THE TRANSFER OF ASSET FORM AND NOT FOR ANY PERSONAL OR CONFIDENTIAL ACCOUNT INFORMATION. THIS WAS DONE WITH THE FULL KNOWLEDGE AND AUTHORIZATION OF THE CUSTOMER. THE BACKGROUND IS THAT THE CLIENT IS AN ELDERLY MAN OF
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