WILLIAM ARTHUR OLOUGHLIN is currently employed as a Broker and/or Investment Adviser at PINNACLE INVESTMENTS, LLC located at 5500 MAIN STREET, SUITE 205, WILLIAMSVILLE, NY, 14221.
WILLIAM ARTHUR OLOUGHLIN has worked at PINNACLE INVESTMENTS, LLC since April 04, 2012
Disclosure History
WILLIAM ARTHUR OLOUGHLIN has 3 Disclosure Event(s).
Date: January 25, 2012 Category: Employment Separation After Allegations Firm Name: SECURITIES AMERICA, INC. Termination Type: Discharged Allegations: THE REPRESENTATIVE FAILED TO FOLLOW FIRM POLICIES AND PROCEDURES RELATING TO AN OUTSIDE BUSINESS ACTIVITY AND COMMUNICATION WITH THE PUBLIC.
Date: May 12, 2003 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT UNSUITABLE INVESTMENTS WERE PURCHASED FOR ACCOUNT, REPRESENTATIVE FAILED TO FOLLOW INSTRUCTIONS AND POOR PERFORMANCE. Damage Amount Requested: $51,000.00
Date: March 12, 1999 Category: Customer Dispute Allegations: FRAUDULENT MISREPRESENTATION AND BREACH OF FIDUCIARY DUTY. Damage Amount Requested: $30,468.92 Settlement Amount: $6,900.00 Broker Comment: DENY ALL ALLEGATIONS. FIRM SETTLED DUE TO COST OF GOING TO ARBITRATION. IC WAS NOT FOUND AT FAULT AND DID NOT CONTRIBUTE TO SETTLEMENT.
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