STANLEY GEDNEY TOBIN is currently employed as a Broker and/or Investment Adviser at YOUNG AMERICA CAPITAL, LLC located at 141 EAST BOSTON POST ROAD, MAMARONECK, NY, 10543.
STANLEY GEDNEY TOBIN has worked at YOUNG AMERICA CAPITAL, LLC since February 01, 2011
Disclosure History
STANLEY GEDNEY TOBIN has 3 Disclosure Event(s).
Date: March 22, 2001 Category: Customer Dispute Allegations: CLIENT CLAIMS IR FAILED TO FOLLOW INSTRUCTIONS IN INVESTMENT STRATEGY AND POOR PERFORMANCE. Damage Amount Requested: $757,963.00
Date: March 31, 1999 Category: Customer Dispute Allegations: CLIENT RAISED CONCERNS REGARDING ACCOUNTPERFORMANCE, INCONSISTENCIES IN AMOUNT OF COMMISSIONS CHARGEDAND LOSSES RESULTING FROM INVESTMENT DECISIONS MADE WITH ANDWITHOUT THE CUSTOMER'S KNOWLEDGE. CLIENT DEMANDS RETURN OFCOMMISSIONS IN THE AMOUNT OF $5,000 AS COMPENSATORY DAMAGES. Damage Amount Requested: $5,000.00 Settlement Amount: $3,000.00 Broker Comment: THE FIRM AGREED TO REINSTATE PORTION OFCOMMISSIONS PAID BY THE CLIENT IN THE AMOUNT OF $3,000.CLIENT ALLEGES TRANSACTION DONE WITHOUT HISKNOWLEDGE. I STRONGLY DENY DOING ANY TRANSACTION WITHOUTCLIENT'S PRIOR KNOWLEDGE.
Date: April 16, 1997 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT HIS BROKER FAILED TOFOLLOW HIS INSTRUCTIONS NOT TO LET HIS ACCOUNT FALL BELOW$200,000. Damage Amount Requested: $100,000.00 Settlement Amount: $100,000.00 Broker Comment: THE COMPLAINT WAS SETTLED FOR $100,000.BROKER DID ATTEMPT TO CONTACT THE CUSTOMER BUTWAS UNABLE TO DO SO DUE TO THE CUSTOMER'S ABSENCE FROM HISOFFICE. I SHOULD NOT HAVE SETTLED. FIRM OFFERED TO SETTLE. I DID NOT PARTICIPATE IN PAYMENT. COMPLAINT WAS SETTLED FOR BUSINESS REASONS AND TOAVOID THE EXPENSE OF LITIGATION.
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