SUSAN NGENDO MBUGUA

SUSAN NGENDO MBUGUA is currently employed as a Broker and/or Investment Adviser at CAPITAL ONE INVESTING, LLC located at 301 W 11th Street, WILMINGTON, DE, 19801.

SUSAN NGENDO MBUGUA has worked at CAPITAL ONE INVESTING, LLC since September 19, 2016

Disclosure History

SUSAN NGENDO MBUGUA has 1 Disclosure Event(s).

Date: March 28, 2008
Category: Criminal
Charges: SHOPLIFTING UNDER $1000 CONCEALS WARES OR MERCHANDISE.
Disposition: Dismissed
Broker Comment: SHOPLIFTING UNDER $1,000 CONCEALS WARES OR MERCHANDISE. WENT TO ARBITRATION SENTENCED TO COMMUNITY SERVICE AND CASE WAS CLOSED

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.

To view the full report for SUSAN NGENDO MBUGUA, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.