TERESA KAY MCALLISTER

TERESA KAY MCALLISTER is currently employed as a Broker and/or Investment Adviser at SECURITIES AMERICA, INC. located at 1065 N 115TH ST STE 210, OMAHA, NE, 68154.

TERESA KAY MCALLISTER has worked at SECURITIES AMERICA, INC. since April 05, 2002

Disclosure History

TERESA KAY MCALLISTER has 2 Disclosure Event(s).

Date: February 12, 2004
Category: Customer Dispute
Allegations: BENEFICIARY FILED ARBITRATION CLAIM (04-00553) ALLEGING MS. MCALLISTER INVESTMENT RECOMMENDATIONS WERE UNSUITABLE FOR THE TRUST.
Damage Amount Requested: $281,245.23
Settlement Amount: $70,000.00
Broker Comment: FILING NEW DRP FOR THE SETTLEMENT OF THIS ARBITRATION CASE 04-00553 BECAUSE TWO DIFFERENT SETTLEMENTS AGREEMENTS WERE COMPLETED BY MS. MCALLISTER'S PRIOR B/D ROBERT BRAID SETTLEMENT AMOUNT WAS $70,000.00 AND HER CURRENT B/D SAI SETTLED THE ARBITRATION CLAIM FOR $7500.00. THIS IS NOT A DUPLICATION OF THE OTHER FILING. THIS FILING SHOULD RESOLVE DISCLOSURE DEFICIENCY LETTER DATED 4-18-05.09/15/08: CORRECTED FILING AS THE REPRESENTATIVE CONTRIBUTED $12,500 TO THIS SETTLEMENT.

Date: February 11, 2004
Category: Customer Dispute
Allegations: BENEFICIARY ALLEGES THAT THE REGISTERED REPRESENTATIVE/FINANCIAL ADVISOR REPRESENTATIVE DID NOT RECOMMEND SUITABLE INVESTMENTS.
Damage Amount Requested: $281,245.23
Settlement Amount: $7,500.00
Broker Comment: TERESA'A FORMER BROKER/DEALER BAIRD WAS ALSO A RESPONDENT OF THIS ARBITRATION. THEY SETTLED WITH OWN SETTLEMENT AGREEEMENT IN THE AMOUNT OF $70,000.00. U5 FILING SHOULD REFLECT THIS.

More Information

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