RUTH BALLARD

RUTH BALLARD is currently employed as a Broker and/or Investment Adviser at COMMONWEALTH FINANCIAL NETWORK located at 275 US ROUTE ONE, CUMBERLAND FORESIDE, ME, 04110.

RUTH BALLARD has worked at COMMONWEALTH FINANCIAL NETWORK since July 27, 2007

Disclosure History

RUTH BALLARD has 1 Disclosure Event(s).

Date: December 01, 1978
Category: Criminal
Charges: 2. MISDEMEANOR/CHARGE PENAL CODE 484-488 Charge Type: MISDEMEANOR
Disposition: F.FINED $70.00 (SEVENTY DOLLARS)G. PAID 12/8/1978
Broker Comment: I WAS FOUND GUILTY OF TAKING WRONGFUL PROPERTY FROM A DEPARTMENT STORE. THE EVENT OCCURRED AT ANAHEIM PLAZA MALL- ROBINSON STORE (ANAHEIM CALIF) AND WAS FOUND GUILTY OF SHOPLIFTING A CLOTHING ITEM (ONE PAIR OF JEANS)IN A BAG IN MY POSSESION. I WAS ARRESTED AND WENT TO ANAHEIM POLICE DEPT. AND WAS CHARGED FOR PETTY THEFT AND ONE OUTSTANDING TRAFFIC WARRANT. I WAS IN JAIL APPROX 2HRS THIS DAY THEN RELEASED TO MY MOTHER. I WENT TO COURT FOR THIS EVENT AND WAS FINED $70.00 AND CHARGED MISDEMEANOR PENAL CODE 484-488. THIS EVENT OCCURED 25 YEARS AGO WHEN I WAS 18 YEARS OF AGE AND WAS INFORMED I MAY HAVE THIS REMOVED FROM MY RECORD SINCE IT IS OVER 10 YEARS OLD AND HAVE HAD NO OTHER CHARGES SINCE. THANK YOU.

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 RUTH BALLARD, click here.

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