RONALD LEE RIGGS

RONALD LEE RIGGS is currently employed as a Broker and/or Investment Adviser at ALLEN & COMPANY OF FLORIDA, INC. located at 1401 SOUTH FLORIDA AVENUE, LAKELAND, FL, 33803.

RONALD LEE RIGGS has worked at ALLEN & COMPANY OF FLORIDA, INC. since July 21, 1994

Disclosure History

RONALD LEE RIGGS has 2 Disclosure Event(s).

Date: March 12, 2012
Category: Customer Dispute
Allegations: CLIENT HAS FILED AN ARBITRATION COMPLAINING, SUBSTANTIALLY AFTER THE FACT, ABOUT THE SUITABILITY OF A MUTUAL FUND AND THREE PRIVATE PLACEMENT INVESTMENTS SHE PURCHASED BETWEEN APRIL 2007 AND JUNE 2008. WE DENY THE ALLEGATION AND INTEND TO VIGOROUSLY CONTEST THE CLAIM. THE FIRM HAS SETTLED THE CLAIM AND REPURCHASED THE SECURITIES FOR AN UNDISCLOSED AMOUNT FOR BUSINESS REASONS. THE REPRESENTATIVE DID NOT CONTRIBUTE.
Damage Amount Requested: $307,000.00
Settlement Amount: $150,000.00
Broker Comment: THE FIRM MADE A BUSINESS DECISION TO REPURCHASE THE SECURITIES AND TO SETTLE FOR AN UNDISCLOSED AMOUNT. THE REPRESENTATIVE DID NOT CONTRIBUTE.

Date: November 03, 2003
Category: Customer Dispute
Allegations: CLIENT ALLEDGES F.A. MADE PROMISES AND GUARANTEES THATTHE ACCOUNT VALUE WOULD NOT DECREASE (MARCH 2000).

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 LEE RIGGS, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.