SAMUEL JACOB BORGER is currently employed as a Broker and/or Investment Adviser at ST. BERNARD FINANCIAL SERVICES, INC. located at 1609 WEST MAIN ST., RUSSELLVILLE, AR, 72801.
SAMUEL JACOB BORGER has worked at ST. BERNARD FINANCIAL SERVICES, INC. since November 20, 2015
Disclosure History
SAMUEL JACOB BORGER has 4 Disclosure Event(s).
Date: February 19, 2016 Category: Regulatory Initiated By: Florida Office of Financial Regulation Allegations: Subject of a suspension by a national securities association (FINRA) involving a violation of its rules. Resolution: Order SanctionDetails: Sanctions: Cease and Desist Broker Comment: After 8 months of investigating, the Florida Dept of Securities issued an order to cease any future violations of Florida law. How one "ceases" a future activity is beyond comprehension.
Date: May 29, 2015 Category: Regulatory
Date: April 07, 2014 Category: Employment Separation After Allegations Firm Name: METLIFE Termination Type: Discharged Allegations: LOSS OF CONFIDENCE DUE TO ALLEGATIONS OF UNSUITABLE INVESTMENTS BY A CLIENT FROM A FORMER FIRM. Broker Comment: MetLife terminated Borger over allegations that later, in an arbitration hearing, proved to be false. Borger was found to not be at fault.
Date: December 20, 2013 Category: Customer Dispute Allegations: CLAIMANT ALLEGES RR MADE UNSUITABLE INVESTMENTS IN CLAIMANT'S AMERITRADE ACCOUNT prior to 12/2013, which was held away from firm. Damage Amount Requested: $1,209,699.91 Settlement Amount: $87,000.00 Broker Comment: AXA, MetLife, and Lincoln settled for $87,000 rather than go to the hearing. TD Ameritrade and Borger went to hearing. In the hearing, claimant's case was denied in its entirety. Borger withdrew his counterclaim.
More Information
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