RICHARD E GADDIS is currently employed as a Broker and/or Investment Adviser at SA STONE WEALTH MANAGEMENT INC. located at 2118 EAST 3900 SOUTH, SUITE 201, SALT LAKE CITY, UT, 84124.
RICHARD E GADDIS has worked at SA STONE WEALTH MANAGEMENT INC. since May 15, 2002
Disclosure History
RICHARD E GADDIS has 1 Disclosure Event(s).
Date: May 31, 1996 Category: Employment Separation After Allegations Firm Name: AG EDWARDS Termination Type: Voluntary Resignation Allegations: SIGNING A CUSTOMER'S NAME TO A THIRD PARTY RELEASE AND A STOCK POWER Broker Comment: THE CLIENT IN QUESTION HAD A JOINT ACCOUNT WITH HER HUSBAND.THE ALREADY EX-HUSBAND LEFT HER AND WAS NOT AVAILABLE AT THE TIME AND HAD NO INTEREST IN THE STOCK BEING SOLD. THE CLIENT WAS IN DIRE STRAITS AND I WAS NOT THINKING OF THE CONSEQUENCES WHEN I HELPED HER OBTAIN THE FUNDS SHE NEEDED. I ACTED IN THE BEST INTEREST OF MY CLIENT WITHOUT COMPENSATION AND THERE HAS NOT BEEN A COMPLAINT FILED BY THE CLIENT TO DATE.
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