WALTER JOHN MACCARRON is currently employed as a Broker and/or Investment Adviser at ALAMO CAPITAL located at 8871 W Flamingo Rd, Suite 202-15, LAS VEGAS, NV, 89147.
WALTER JOHN MACCARRON has worked at ALAMO CAPITAL since April 19, 2010
Disclosure History
WALTER JOHN MACCARRON has 4 Disclosure Event(s).
Date: September 09, 2015 Category: Customer Dispute Allegations: CLIENT ALLEGES UNSUITABLE INVESTMENT DONE VIA APPOINTED TRADE AUTHORITY. Damage Amount Requested: $97,166.60 Settlement Amount: $24,500.00 Broker Comment: The firm and RR deny the claims however have settled to avoid further time and money spent defending against unfounded claims.
Date: August 03, 2001 Category: Employment Separation After Allegations Firm Name: BEAR STEARNS Termination Type: Discharged Allegations: UNAUTHORIZED TRADE. Broker Comment: CLIENT CLAIMED UNAUTHORIZED TRADE ON 4000 SHARES OF PALM COMMON. CLIENT IS WIFE'S BOSS AND HE SENT SEVERAL LETTERS TO HOME THREATENING ME WITH A COMPLAINT TO BEAR STEARNS. I TOLD BEAR STEARNS AND THE MATTER IS BEING SETTLED.
Date: June 15, 2001 Category: Customer Dispute Allegations: THE CUSTOMER IS ALLEGING FAILURE TO FOLLOW INSTRUCTIONS TO SELL ITS PALM, INC. POSITION. AS NO DAMAGES WERE SPECIFIED, WE HAVE MADE A GOOD FAITH DETERMINATION THAT THE DAMAGES FROM THE ALLEGED CONDUCT WOULD BE MORE THAN $5,000. Settlement Amount: $80,000.00 Broker Comment: WITHOUT ADMISSION OF GUILT OF ANY KIND SETTLED TO AVOID THE COSTS OF LITIGATION.
Date: October 05, 1964 Category: Criminal Charges: STEALING SOMETHING UPON LEAVING PLACE OFEMPLOYMENT - MISDEMEANOR Charge Type: MISDEMEANOR Disposition: ALL CHARGES DROPPED. MISTAKEN IDENTITY. EXPUNGED FROM ALL RECORDS. Broker Comment: STEALING SOMETHING UPON LEAVING PLACE OF EMPLOYMENT. ALL CHARGES DROPPED. MISTAKEN IDENTITY. EXPUNGED FROM ALL RECORDS.
More Information
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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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