ROBERT DAVID BRAUN is currently employed as a Broker and/or Investment Adviser at SIGNATOR INVESTORS, INC. located at 2419 MULLAN ROAD, SUITE C, MISSOULA, MT, 59808.
ROBERT DAVID BRAUN has worked at SIGNATOR INVESTORS, INC. since December 28, 2015
Disclosure History
ROBERT DAVID BRAUN has 2 Disclosure Event(s).
Date: July 25, 2005 Category: Customer Dispute Allegations: [OTHER CUSTOMER NAMED] STATES THAT HER MOTHER'S ACCOUNT([CUSTOMER])HAD UNAUTHORIZED TRANSACTIONS, WITH CHURNING AND EXCESSIVE TRADING. Damage Amount Requested: $300,000.00 Broker Comment: [CUSTOMER] HAD ACCT AT MPV FROM '89-'05. DAUGHTER TOOK OVER ACCT AND RE-REGISTERED ACCT TO IRREV.TRUST. DAUGHTER NEVER INVOVLED WITH PARENT'S ACCT TILL '04, NEVERTHELESS FEELS PARENT'S ACCT WAS CHURNED, WITH EXCESSIVE TRADES AND UNAUTHORIZED TRANSACTIONS, WITH DAMAGES OF $300,000.00. ACCT WAS NEVER VALUED AT $300,000.00 AND ONLY HAD LOSSES OF $5880.00 AND THIS DOES NOT INCLUDE INTEREST AND DIV PAYMENTS RECEIVED THROUGHOUT THE HISTORY OF ACCT.
Date: September 23, 2004 Category: Customer Dispute Allegations: CLIENT'S FAMILY FELT THAT SELLING OPTIONS ("BUY/WRTIE STRATEGY") WAS NOT APPROPRIATE AND DAMAGES HAVE NOT BEEN SPECIFIED BY ANY FAMILY MEMBERS. Settlement Amount: $15,000.00 Broker Comment: CLIENT ACTUAL LOSSES WERE DERIVED FROM THE MARKET CORRECTION DURING THE EARLY 1990'S, AND FAIRED WELL WITH THE ETF BUY/WRITE STRATEGY.
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