RICHARD DALE ALMOND is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 151 N 3RD AVE STE 100, POCATELLO, ID, 83201.
RICHARD DALE ALMOND has worked at CETERA ADVISORS LLC since December 06, 2013
Disclosure History
RICHARD DALE ALMOND has 1 Disclosure Event(s).
Date: April 21, 2011 Category: Customer Dispute Allegations: IN CONNECTION WITH THE RECOMMENDATION AND SALE OF A TIC INVESTMENT ON OR ABOUT 09/2007, CLAIMANTS ALLEGE NEGLIGENCE, FRAUD, VIOLATIONS OF FEDERAL AND MINNESOTA STATE SECURITIES STATUTES, AND THAT THE REPRESENTATIVE WAS NOT REGISTERED TO SELL SECURITIES IN THE STATE OF IDAHO. Damage Amount Requested: $2,800,000.00 Settlement Amount: $90,000.00 11-01470
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