SANDRA KAY REYNOLDS is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 1004 N VAIL CIR, SIOUX FALLS, SD, 57110.
SANDRA KAY REYNOLDS has worked at CETERA ADVISOR NETWORKS LLC since January 13, 2009
Disclosure History
SANDRA KAY REYNOLDS has 1 Disclosure Event(s).
Date: May 19, 2005 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT FINANCIAL ADVISOR, INTER ALIA, MADE UNSUITABLE INVESTMENTS, RECOMMENDED UNSUITABLE USE OF MARGIN LOANS, AND CONDUCTED EXCESSIVE TRADES FROM OCTOBER OF 1999 TO FEBRUARY 2001. Damage Amount Requested: $174,598.00 Settlement Amount: $35,562.50 Broker Comment: MS REYNOLDS DENIES ALL ALLEGATIONS OF UNSUITABLE RECOMMENDATIONS, ADVISING THE USE OF MARGIN, AND EXCESSIVE TRADING. THE CLIENT SELECTED THE EQUITIES WITHOUT COMMENT OR RECOMMENDATION FROM MS REYNOLDS. MORGAN STANLEY SETTLED WITH THE CLIENT AS A BUSINESS DECISION FOR NUISANCE VALUE, AND TO AVOID THE COSTS OF LITAGATION. NO WRONGDOING WAS FOUND OF MS REYNOLDS.
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 SANDRA KAY REYNOLDS, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.