SCOTT IRVIN COLYER is currently employed as a Broker and/or Investment Adviser at ADVISORS ASSET MANAGEMENT, INC. located at 18925 BASE CAMP ROAD, SUITE 203, MONUMENT, CO, 80132.
SCOTT IRVIN COLYER has worked at ADVISORS ASSET MANAGEMENT, INC. since January 03, 2001
Disclosure History
SCOTT IRVIN COLYER has 2 Disclosure Event(s).
Date: April 01, 1994 Category: Customer Dispute Allegations: UNAUTHORIZED TRADE; DAMAGE ALLEGATIONSUNKNOWN BUT ARE THOUGHT TO INCLUDE LOSS OF FUTURE INTEREST,MENTAL ANGUISH, TRAVEL EXPENSES Settlement Amount: $17,500.00 Broker Comment: PRUDENTIAL SECURITIES SETTLED CLAIM FOR$17,500.00. THERE HAS BEEN NO ACTION ON BEHALF OF PRUDENTIALSECURITIES OR ANY REGULATORY AGENCY OTHER THAN INQUIRY ON THISMATTER. THE DECISION TO SETTLE WAS MADE BY PRUDENTIALSECURITIES UNDER PROTEST BY ME.CATEGORICALLY I DENY ANY AND ALL ALLEGATION THATANY TRADE WAS EXECUTED WITHOUT CLIENT AUTHORIZATION. CLIENTSWERE FOREIGN NATIONALS TRAVELING ABROAD RESIDING PERMANENTLY INSPAIN. THE [CUSTOMER] ACCOUNT WAS SET UP WITH ONE 50,000 PURCHASEOF 8% FNMA REMIC BONDS PURCHASED AT A DISCOUNT TO PAR. I HADINSTRUCTIONS TO SEND THE INTEREST PAYMENTS MONTHLY TO A LOCALBANK AND [CUSTOMER] DREW THE INTEREST BY CHECK MONTHLY TO WHEREVERTHEY TRAVELED. [CUSTOMER] UNDERSTOOD THAT THE BONDS WERE CALLABLEAT PAR ANY MONTH. I RECEIVED SPECIFIC INSTRUCTIONS TO KEEP
Date: January 17, 1991 Category: Customer Dispute Allegations: CLIENT ALLEGES MISREPRESENTATION, FAILURE TOFOLLOW CLIENT INVESTMENT INSTRUCTIONS REGARDING MUNICIPAL BONDSAND UNSUITABLE MARGIN TRADING. CLIENT ALLEGES DAMAGES OF$138,100.00. THE TRANSACTIONS IN QUESTION INVOLVE MUNICIPALBONDS. Damage Amount Requested: $138,100.00 Settlement Amount: $50,000.00 Broker Comment: SETTLED FOR PAYMENT OF $50,000 PAYABLE TO [CUSTOMER]. CUSTOMER AGREED TO RETURN ZERO COUPON BONDSWITH A FACE VALUE OF $285,000 AS PART OF THE SETTLEMENT.NOT PROVIDED
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 SCOTT IRVIN COLYER, 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.