STEVEN PATRICK FORD

STEVEN PATRICK FORD is currently employed as a Broker and/or Investment Adviser at FCG ADVISORS, LLC located at ONE MAIN STREET, SUITE 202, CHATHAM, NJ, 07928.

STEVEN PATRICK FORD has worked at FCG ADVISORS, LLC since December 04, 2009

Disclosure History

STEVEN PATRICK FORD has 4 Disclosure Event(s).

Date: September 21, 2015
Category: Customer Dispute
Allegations: Client alleges RR facilitated the surrender of client's Phoenix Life Insurance policy, had check sent to RR's home, and also alleges RR deposited the funds into an account held by his ex-wife.
Damage Amount Requested: $301,000.00

Date: May 29, 2012
Category: Regulatory

Date: May 17, 2012
Category: Customer Dispute
Allegations: CLIENT ALLEGES EX-WIFE TRANSFERRED MUTUAL FUND SHARES FROM A JOINT ACCOUNT WITH A FORGED SIGNATURE. SHARES WERE LATER RETURNED BUT CLIENT CLAIMS HE INCURRED MARKET LOSSES.
Damage Amount Requested: $21,580.00
Settlement Amount: $42,500.00
Broker Comment: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, A SETTLEMENT WAS REACHED BETWEEN SECURIAN, NAMED RESPONDENT AND CLAIMANT.

Date: December 04, 2009
Category: Employment Separation After Allegations
Firm Name: SECURIAN FINANCIAL SERVICES
Termination Type: Permitted to Resign
Allegations: RR WAS FOUND TO HAVE VIOLATED THE FOLLOWING FIRM POLICIES: 1. UNAUTHORIZED ACCESS TO AND UTILIZATION OF CLIENT IDS AND PASSWORDS TO EFFECT SECURITIES TRANSACTIONS ON THIRD-PARTY PLATFORMS. 2. INACCURATE REPORT OF EXTENT OF A BROKER'S TRADING AUTHORITY TO THIRD-PARY BROKER-DEALER. 3. PRODUCTION OF UNAUTHORIZED AND INACCURATE CLIENT SUMMARIES. 4. UNAUTHORIZED RETENTION OF CLIENT INSURANCE POLICIES IN AGENCY FILES. 5. VIOLATION OF POLICIES REGARDING CLIENT SIGNATURES AND THEIR USE.
Broker Comment: REPRESENTATIVE HAS PROVIDED THROUGH LEGAL COUNSEL DETAILED STATEMENT REGARDING ALL ALLEGATIONS.

More Information

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