STANLEY CLYDE MOCK is currently employed as a Broker and/or Investment Adviser at THE O.N. EQUITY SALES COMPANY located at 3601 N LAKEHARBOR LANE, BOISE, ID, 83703.
STANLEY CLYDE MOCK has worked at THE O.N. EQUITY SALES COMPANY since January 03, 1979
Disclosure History
STANLEY CLYDE MOCK has 1 Disclosure Event(s).
Date: March 27, 2002 Category: Customer Dispute Allegations: THE SUITE ALLEDGES I ASSUMED A DUTY TO PREVENT MISAPPROPRIATIOIN OF FUNDS BY A REPRESENTATIVE I SUPERVISED. THE PERSON WHO FILED THE SUITE CALLED OUR OFFICE UPON RECEIVING THE TERMINATION LETTER IN DECEMBER 1998 AND INSTRUCTED US NEVER TO ATTEMPT TO CONTACT HER BECAUSE SHE DID NOT WANT ANYTHING TO DO WITH US. Damage Amount Requested: $45,545.00 Settlement Amount: $45,545.00 Broker Comment: RELEASE & SETTLEMENT OF CLAIMS COMPLETED ON DECEMBER 20, 2002. I NOTIFIED CUSTOMER BY LETTER ON DECEMBER 7, 1998 THAT SERVICING AGENT HAD BEEN TERMINATED. UPON RECEIVING THE LETTER, CUSTOMER INSTRUCTED THIS OFFICE TO NOT EVER ATTEMPT TO CONTACT HER OR HER MOTHER. CUSTOMER EVIDENTALLY DECIDED TO DO BUSINESS WITH AGENT AFTER RECEIVING MY TERMINATION LETTER. NO REQUESTS FOR MONEY EVER PASSED THROUGH THIS OFFICE, SO WE HAD NO WAY TO MONITOR THIS WAS HAPPENING. OUR OFFICE DID DISCOVER THAT THE REPRESENTATIVE HAD CHANGED THE COMPLAINTANTS ADDRESS TO THE REGISTERED REPRESENTATIVES PO BOX AND DID NOTIFY OUR BROKER DEALER OF THIS.
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