SHANNON KEITH SCOTT

SHANNON KEITH SCOTT is currently employed as a Broker and/or Investment Adviser at MUTUAL OF OMAHA INVESTOR SERVICES, INC. located at 1792 ALYSHEBA WAY, STE 180, LEXINGTON, KY, 40509.

SHANNON KEITH SCOTT has worked at MUTUAL OF OMAHA INVESTOR SERVICES, INC. since February 01, 2018

Disclosure History

SHANNON KEITH SCOTT has 5 Disclosure Event(s).

Date: December 21, 2017
Category: Judgment / Lien
Judgment/Lien Amount: $2,788.41
Judgment/Lien Type: Civil

Date: November 30, 2017
Category: Judgment / Lien
Judgment/Lien Amount: $29,856.20
Judgment/Lien Type: Civil
Broker Comment: Lien is not resolved or satisfied at this time. This was a second luxury car I owned prior to losing my 300k plus a year employment with ONB. I simply could not keep the car and owed more then I could sell it for.

Date: October 05, 2017
Category: Customer Dispute
Allegations: Daughter of client alleged misappropriation of her father's funds after learning she was not a primary beneficiary on a life insurance policy. Complaint was denied.

Date: March 22, 2017
Category: Judgment / Lien
Judgment/Lien Amount: $1,434.24
Judgment/Lien Type: Civil

Date: March 01, 2016
Category: Judgment / Lien
Judgment/Lien Amount: $23,000.00
Judgment/Lien Type: Tax
Broker Comment: IRS notification to put lien on house for back taxes owed. No court filing involved.

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.

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