WILLIAM DUFFY FORD is currently employed as a Broker and/or Investment Adviser at HERBERT J. SIMS & CO. INC. located at 8500 NORMANDALE LAKE BLVD, SUITE 540, BLOOMINGTON, MN, 55437.
WILLIAM DUFFY FORD has worked at HERBERT J. SIMS & CO. INC. since October 15, 2010
Disclosure History
WILLIAM DUFFY FORD has 2 Disclosure Event(s).
Date: October 01, 2012 Category: Customer Dispute Allegations: CLIENT FEELS ZIEGLER DID NOT DO THEIR DUE DILLIGENCE PRIOR TO OFFERRING THIS DEAL TO THEIR CLIENTS. Damage Amount Requested: $375,000.00 Settlement Amount: $140,000.00 Broker Comment: THE [CUSTOMERS] HAVE BEEN CLIENTS OF MR. FORDS FOR OVER 20 YEARS AND THIS INVESTMENT WAS CONSISTANT WITH THEIR INVESTMENT OBJECTIVES AND RISK TOLERANCE. THE [CUSTOMERS] ARE SOPHISTICATED HIGH NET WORTH INVESTORS.
Date: July 30, 2010 Category: Regulatory
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