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
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.
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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.
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