ROBERT GEORGE MALONE is currently employed as a Broker and/or Investment Adviser at SUMMIT BROKERAGE SERVICES, INC. located at 8774 Yates Dr, Sheridan Pk Bldg 1 Ste 130, West Minster, CO, 80030.
ROBERT GEORGE MALONE has worked at SUMMIT BROKERAGE SERVICES, INC. since October 05, 2015
ROBERT GEORGE MALONE has 10 Disclosure Event(s).
Date: January 10, 1994 Category: Customer Dispute Allegations: UNAUTHORIZED TRADING BY REGISTEREDREPRESENTATIVE, [BROKER],RESULTING IN A LOSS. Damage Amount Requested: $8,465.50 Damages Granted: $10,431.00 Broker Comment: MALONE AND ASSOC. CUSTOMER WAS AWARDED$10,431.00[BROKER] WAS THE RR OF RECORD ON THEACCOUNT. WHEN MALONE & ASSOC. TRANSFERRED ITS ASSETS, THECLEARING FIRM ASSIGNED A RR# TO ACCOUNTS FOR THE PURPOSE OFTRANSFERRING THEM. AS THE PRIMARY PRINCIPAL OF MALONE &ASSOC., I WAS NAMED AS THAT RR. IT IS ONLY THRU THE ACTIONS OFTHE CLEARING FIRM THAT I BECAME ASSOCIATED WITH THE [CUSTOMER]ACCOUNT. IT SHOULD BE NOTED THAT [BROKER] IS PAYING THEAWARD IN ITS ENTIRETY.
Date: November 24, 1993 Category: Regulatory Initiated By: STATE OF FLORIDA Allegations: AGREES NOT TO ENGAGE IN ANY VIOLATIONS OF CHAPTER 517, FLORIDA STATUTES. Resolution: Stipulation and Consent Sanctions: REIMBURSE THE DEPARTMENT $500 FOR INVESTIGATORY COSTS. Sanction Details: SHOULD RESPONDENT SEEK REGISTRATION IN FLORIDA, HE AGREES TO BE SUBJECT TO A REGISTRATION AGREEMENT FOR A PERIOD OF TWO YEARS. Broker Comment: Not Provided
Date: May 29, 1992 Category: Regulatory Initiated By: ILLINOIS SECURITIES DEPARTMENT Allegations: STATUTORY DENIAL UNDER SECTION 8.E(1)(J) OFTHE ILLINOIS SECURITIES LAW. BASED ON SUSPENSION BY THE NASDARISING FROM FRAUDULENT OR DECEPTIVE PRACTICES. Resolution: Order SanctionDetails: Sanctions: Revocation/Expulsion/Denial Sanction Details: ORDER OF DENIAL ISSUED JULY 28, 1992. Broker Comment: I FILED TO BE LICENSED IN ILLINOIS. THEYRESPONDED WITH A SUMMARY ORDER OF DENIAL WHICH ALLOWS ME TOREQUEST A HEARING OR TO SEND IN A WRITTEN MOTION. I HADREQUESTED THE COMPLIANCE DEPT. OF DICKINSON & CO TO SEND IN AWRITTEN MOTION UNDER #4 OR #9, WHICH THEY INTENDED TO DO.HOWEVER MY FILE WAS MISPLACED AND THE DEADLINE TO RESPONDEXPIRED AND NO MOTION WAS SENT IN. I APPEALED TO THE STATE OFILLINOIS TO ALLOW ME TO MAKE A MOTION OR TO HAVE A HEARING. MYAPPEAL WAS DENIED.
Date: May 31, 1991 Category: Regulatory Initiated By: STATE OF GEORGIA - OFFICE OF THE SECRETARYOF STATE Allegations: THE STATE OF GEORGIA PROPOSED TO ISSUE ANORDER OF DENIAL, DENYING MALONE'S APPLICATION TO BECOMEREGISTERD IN GEORGIA AS A SECURITIES SALESMAN Resolution: Stipulation and Consent Sanction Details: MALONE ALLOWED TO WITHDRAW HIS APPLICATION WITHTHE AGREEMENT NOT TO REAPPLY IN GEORGIA FOR A PERIOD OF THREEYEARS. Broker Comment: Not Provided
Date: April 22, 1991 Category: Regulatory Initiated By: IDAHO DEPARTMENT OF FINANCE Allegations: SALE OF A SECURITY BY AN UNLICENSED AGENT Resolution: Stipulation and Consent SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $1,000.00 Sanction Details: PER AGREEMENT AND ORDER: $1,000 FINE, ONE YEARPROBATION, AGREES NOT TO EMPLOY ASSISTANTS WHO ARE NOT LICENSEDIN THE SAME STATES AS THE PRNCIPAL. Broker Comment: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS IHAVE AGREED TO FOLLOW THE TERMS OF THE AGREEMENT & ORDER.
Date: January 16, 1991 Category: Regulatory
Date: September 13, 1990 Category: Regulatory
Date: December 30, 1987 Category: Regulatory
Date: May 28, 1986 Category: Regulatory Initiated By: IOWA Allegations: SUMMARY DENIAL ORDER ISSUED ALLEGING 25 TRANSACTIONS TO 5 CUSTOMERS WHILE UNREGISTERED FROM 1/80 TO 10/82.ALLEGATIONS ALSO INCLUDE FALSE OR MISLEADING FILING REGARDING PAST ACTIVITY. Resolution: Consent SanctionDetails: Sanctions: Censure Sanction Details: REQUEST FOR REGISTRATION AS AN AGENT WAS REJECTED BY THE STATE OF IOWA ON MAY 28, 1986;BASED ON A PAST UN-REGISTERED AGENT STATUS AND A MISLEADING FILING. THIS DENIAL ORDER IS VACATED AS PART OF CONSENSUAL CENSURE ENTERED ON 8/28/86 ALLEGING ONLY THE SALES ACTIVITY WHILE UNREGISTERED. Broker Comment: MALONE WAS APPROVED IN THE STATE OF IOWA ON10/14/86.
Date: May 28, 1980 Category: Regulatory Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC. Resolution: Acceptance, Waiver & Consent(AWC) SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $1,500.00 Broker Comment: A STOCK BROKERS DAUGHTER WHO WAS OVER 21 ANDLIVED BY AND SUPPORTED HERSELF BOT TWO NEW ISSUES FOR A TOTALIMMEDIATE PROFIT OF $700. FIRM - COHIG'S DAUGHTER. MR. MALONEPAID A FINE OF $500.
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