RedFlag, Allegation and/or Complaint against TOBIN JOHN MERGENTHALER
Disclosure #1 for TOBIN MERGENTHALER
-
- Event Date: 6/24/2001
- Disclosure Type: Criminal
- Disclosure Resolution: Final Disposition
- Disclosure Detail :: Criminal Charges :: Charges: INITIAL CHARGE OF 1 COUNT OF CRIMINAL MISCHIEF, 3RD DEGREE E FELONY, REDUCED TO 1 COUNT CRIMINAL MISCHIEF IN 4TH DEGREE, MISDEMEANOR, PLEAD GUILTY.
- Charge Type: FELONY
- Disposition: A. DISMISSED B. JULY 16, 2002 C. RESTITUTION/30HRS COMMUNITY SERVICE D. CONDITIONAL DISCHARGE, 12 MONTH PROBATIONARY PERIOD E. JULY 16, 2001 F. $2425.74 G. AUGUST 14, 2001.
- Broker Comment: THE FINAL CHARGE WAS CRIMINAL MISCHIEF IN THE 4TH DEGREE, WHICH IS CLASSIFIED AS A MISDEMEANOR. ALL REQUIREMENTS FOR DISMISSAL SET FORTH BY THE COURT WERE SATISFIED IN A TIMELY MANNER, LONG BEFORE THE REQUIRED DUE DATE.
Should I file a FINRA complaint against brokers like TOBIN JOHN MERGENTHALER?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Frequently Asked Questions About TOBIN JOHN MERGENTHALER
What is TOBIN MERGENTHALER's Central Registration Depository (CRD) Number?
Which firm is TOBIN JOHN MERGENTHALER associated with?
Where is TOBIN MERGENTHALER located?
Where can I find more details about TOBIN MERGENTHALER's Investment Firm?
Are there any disclosures, allegations or complaints filed against TOBIN JOHN MERGENTHALER?
Where can I download a detailed FINRA report for TOBIN MERGENTHALER?
Is it safe to do business with TOBIN JOHN MERGENTHALER?
All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. BrokerAudit.com does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. BrokerAudit.com intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.
