RICHARD GLENN ACKER is currently employed as a Broker and/or Investment Adviser at CENTAURUS FINANCIAL, INC. located at 99 KING STREET, BROOKLYN, NY, 11231.
RICHARD GLENN ACKER has worked at CENTAURUS FINANCIAL, INC. since May 07, 2009
Disclosure History
RICHARD GLENN ACKER has 2 Disclosure Event(s).
Date: September 29, 2010 Category: Regulatory Initiated By: NEW YORK DEPARTMENT OF INSURANCE Allegations: FROM APRIL 2004 TO FEBRUARY 2006 REPRESENTATIVE SOLD INSURANCE OF AN UNAUTHORIZED ISSUER TO RESIDENTS OF NEW YORK. Resolution: Stipulation and Consent SanctionDetails: Sanctions: Monetary Penalty other than Fines Broker Comment: THE REGULATORY ACTION AROSE FROM AN INVESTIGATION BY THE NEW YORK STATE INSURANCE DEPARTMENT INTO THE SALE OF ANNUITY CONTRACTS ON BEHALF OF THE ALLIANZ LIFE INSURANCE CO. OF NORTH AMERICA ("ALLIANZ"). ALLIANZ WAS NOT AN AUTHORIZED INSURER IN NEW YORK & SUCH ANNUITY CONTRACTS WERE NOT AUTHORIZED FOR SALE IN NEW YORK. ANY ALLEGED REGULATORY VIOLATIONS ARISING FROM SUCH SALES, AS ALLILANZ AGENT, WERE FINALLY RESOLVED BY ANY ACKNOWLEDGEMENT THAT SUCH UNAUTHORIZED ANNUITY CONTRACTS WERE SOLD ON BEHALF OF ALLIANZ & PAYMENT OF CIVIL PENALTY IN THE AMOUNT OF $23,907.
Date: August 26, 1985 Category: Criminal Charges: ONE FELONY CHARGE OF CONSPIRACY, ONE FELONY CHARGE OF ATTEMPTING TO TRAFFIC IN STOLEN PROPERTY, ONE FELONY CHARGE CONSPIRACY TO TRAFFIC IN STOLEN PROPERTY. ALL CHARGES NOT GUILTY. Disposition: Dismissed Amended Charges: AMENDED CHARGE OF ATTEMPTED THEFT A CLASS SIX UNDESIGNATED MISDEMEANOR. ALL OTHER CHARGES DISMISSED. PAID $425 IN RESTITUTION. Amended Charge Type: MISDEMEANOR Amended Charge Amended Charge Disposition: Pled guilty Broker Comment: IN 1985, I WAS YOUNG AND NAIVE AND I PURCHASED STOLEN MERCHANDISE FROM AN UNDERCOVER POLICE OFFICER.
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