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
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."
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