VIC V MULLET is currently employed as a Broker and/or Investment Adviser at CENTAURUS FINANCIAL, INC. located at 2260 SADDLEBACK DRIVE, LAUREL, MT, 59044.
VIC V MULLET has worked at CENTAURUS FINANCIAL, INC. since January 03, 2007
Disclosure History
VIC V MULLET has 1 Disclosure Event(s).
Date: May 19, 2014 Category: Customer Dispute Allegations: ALLEGATIONS INCLUDE VIOLATIONS OF FEDERAL SECURITIES LAWS; VIOLATION OF THE SECURITIES ACT OF MONTANA; VIOLATION OF MONTANA UNFAIR TRADE PRACTICES AND CONSUMER PROTECTION ACT; BREACH OF CONTRACT; COMMON LAW FRAUD; BREACH OF FIDUCIARY DUTY; AND NEGLIGENCE CONCERNING THE TENANT IN COMMON INVESTMENT PURCHASED IN 2008. Damage Amount Requested: $255,000.00 Settlement Amount: $115,000.00 Broker Comment: "I VEHEMENTLY DENY THE ALLEGATIONS IN THIS ARBITRATION CLAIM AS THEY ARE BASELESS AND COMPLETELY UNFOUNDED. THE INVESTMENT AT ISSUE WAS APPROPRIATE BASED ON THE INFORMATION PROVIDED BY THE CUSTOMER AS TO HER FINANCIAL SITUATION, INVESTMENT OBJECTIVES, TIME HORIZON AND RISK TOLERANCE LEVEL AT THE TIME OF THESE TRANSACTIONS. SPECIFICALLY THE CLIENT'S STATED OBJECTIVE OF COMLETING A 1033 EXCHANGE TO AVOID PAYMENT OF TAXES ON THE DISPOSITION OF HER PROPERTY AT THE TIME OF THIS FILING, THE CLIENT STILL OWNS THE REAL ESTATE THAT SHE PURCHASED THROUGH ME AND THE REAL ESTATE IS HIGHLY VALUABLE. THIS CLAIM IS INTENDED TO EXTRACT A MONETARY SETTLEMENT AND HAS NO MERIT. THE CLIENT WAS CLOSELY ADVISED BY HER ATTORNEY AND HER SON THROUGHOUT THE PROCESS. I INTEND TO ZEALOUSLY DEFEND MY REPUTATION AGAINST THIS MERITLESS CLAIM."
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 VIC V MULLET, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.