ROBERT RONALD THURMAN is currently employed as a Broker and/or Investment Adviser at AMERICAN FINANCIAL ASSOCIATES, INC. located at 5173 SHANNON ROAD NE, P.O. BOX 878, SILVERTON, OR, 97381-0878.
ROBERT RONALD THURMAN has worked at AMERICAN FINANCIAL ASSOCIATES, INC. since April 12, 2000
Disclosure History
ROBERT RONALD THURMAN has 2 Disclosure Event(s).
Date: June 29, 2000 Category: Regulatory
Date: December 22, 1999 Category: Regulatory Initiated By: CALIFORNIA DEPARTMENT OF CORPORATIONS Allegations: SUBJECT WAS ORDERED TO DESIST AND REFRAIN FROM VIOLATIONS OF THE CALIFORNIA SECURITIES LAW. THESE VIOLATIONS INCLUDED THE UNLAWFUL OFFER AND SALE OF UNREGISTERED SECURITIES AND EFFECTING TRANSACTIONS IN SECURITIES WITHOUT A BROKER-DEALER LICENSE. THE SECURITIES WERE ISSUED BY HOTEL CONNECT LLC. Resolution: Order SanctionDetails: Sanctions: Cease and Desist/Injunction Sanction Details: DESIST AND REFRAIN ORDER ISSUED Broker Comment: WHEN I WAS INTRODUCED TO HOTEL CONNECT (A 9 MONTH NOTE), I FIRST REPORTED TO THE COMPLIANCE DEPT OF MY BROKER/DEALER OF THIS POSSIBLE OUTSIDE ACTIVITY. THEY GAVE ME NO RED LIGHT. I NEVER OFFERED THE PRODUCT TO ANYONE EXCEPT TO MY MOTHER ABOUT 2 YEARS AGO. SHE RECEIVED HER INTEREST AND THEN HER PRINCIPAL WAS RETURNED TO HER. I WAS NEVER TOLD THERE WAS ANYTHING WRONG WITH HOTEL CONNECT UNTIL I RECEIVED THE "DESIST AND REFRAIN ORDER" ON JAN 8, 2000.
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