RICHARD DALE CRANDALL is currently employed as a Broker and/or Investment Adviser at MOORS & CABOT, INC. located at 941 West Morse Boulevard, Suite 125, WINTER PARK, FL, 32789-3734.
RICHARD DALE CRANDALL has worked at MOORS & CABOT, INC. since June 05, 2006
Disclosure History
RICHARD DALE CRANDALL has 2 Disclosure Event(s).
Date: May 03, 2006 Category: Employment Separation After Allegations Firm Name: CITIGROUP GLOBAL MARKETS INC. Termination Type: Permitted to Resign Allegations: FAILURE TO PROPERLY DISCLOSE TRANSFERS OF MONEY TO ANOTHER EMPLOYEE Broker Comment: I MADE A PERSONEL LOAN TO A FELLOW BROKER AND FRIEND AT THE FIRM OF $5,000. DOWN THE ROAD HE ASKED ME IF I WOULD TAKE STOCK IN LIEU OF PAYMENT. SINCE THE LOAN FOR FOR A SMALL AMOUNT I AGREED TO TAKE THE STOCK IN LIEU OF PAYMENT. I WAS NOT AWARE THAT HE WAS FACILITATING TRADES AWAY FROM SMITH BARNEY. I THEN LOST MONEY ON THE STOCK AND ALSO ON THE LOAN TO MY FRIEND.
Date: May 05, 2005 Category: Customer Dispute Allegations: CLIENTS ALLEGED INVESTMENTS WERE UNSUITABLE - 2001 THROUGH 2004. DAMAGES UNSPECIFIED. Broker Comment: CLAIM DENIED.
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