RONALD CHRYSLER HAUF is currently employed as a Broker and/or Investment Adviser at SECURITIES SERVICE NETWORK, LLC located at 2834 REST HAVEN DR, KALISPELL, MT, 59901.
RONALD CHRYSLER HAUF has worked at SECURITIES SERVICE NETWORK, LLC since September 27, 2007
Disclosure History
RONALD CHRYSLER HAUF has 1 Disclosure Event(s).
Date: October 21, 1999 Category: Employment Separation After Allegations Firm Name: SMITH BARNEY Termination Type: Permitted to Resign Allegations: EXECUTED TRANSACTION IN CUSTOMER ACCOUNT WITHOUT PROPER AUTHORITY Broker Comment: MY CLIENT OF 15+ YEARS BECAME ILL THE SUMMER OF 1999. I HAD SPOKEN WITH JOHN CHARNEWS (MY CLIENT) DURING THE SUMMER OF 1990 AND HE GAVE ME TIME AND PRICE DISCRETION TO EXECUTE CERTAIN TRADES. ON SEPTEMBER 29,1999, MY CLIENT'S BROTHER CONTACTED THE SMITH BARNEY OFFICE IN LONG ISLAND NY TO ASK ABOUT 3 TRADES EXECUTED ON 08/30/99, 09/14/99 AND 09/21/99. ALSO AT THIS TIME, THE BROTHER TOLD SMITH BARNEY THAT MY CLIENT HAD GIVEN HIM A POWER OF ATTORNEY. NEITHER MY CLIENT OR THE BROTHER INFORMED ME OF THIS POWER OF ATTORNEY. THE SMITH BARNEY OFFICE IN LONG ISLAND NY CONTACTED SCOTT RASH, MY THEN BRANCH MANAGER IN SPOKANE WA ON 09/29/99. I WAS INFORMED OF THE CONCACT AND SUBSEQUENTLY CALLED MY CLIENT'S BROTHER. I ANSWERED HIS QUESTIONS ABOUT THE TRADES. THE BROTHER INFORMED ME THAT MY CLIENT JOHN HAD ENTERED THE HOSPITAL AND WAS NOW VERY ILL. DURING THIS CONVERSATION THE BROTHER DID NOT COMPLAIN OR SAY HE WAS DISSATISFIED WITH THE TRADES IN JOHN'S ACCOUNT. THE BROTHER DID NOT SEND ME OR SMITH BARNEY ANY LETTERS COMPLAINING ABOUT THESE TRADES. MY FORMER BRANCH MANAGER, SCOTT RASH, WAS INEXPERIENCED AND USED THIS VERBAL INQUIRY AS AN EXCUSE TO ASK ME TO RESIGN UNDER PROTEST ON 10/21/1999. THERE WAS NEVER ANY COMPLAINT, VERBAL OR WRITTEN, THERE WAS ONLY A LACK OF COMMUNICATION. I HAVE ALWAYS AND WILL CONTINUE TO CONDUCT MYSELF IN AN HONORABLE AND PROFESSIONAL MANNER IN THE SECURITIES INDUSTRY.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for RONALD CHRYSLER HAUF, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.