Jimmy Dale Mullins, of Fort Worth, Texas, a stockbroker currently registered with Cambridge Investment Research, Inc., has been named in a customer initiated investment related written complaint on February 21, 2017, based upon allegations that Mullins failed to disclose the illiquidity pertaining to a real estate security effected in the customer’s account.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Mullins has been named in two additional customer initiated investment related disputes containing allegations of Mullins’ misconduct while associated with ING Financial Partners, Inc. Particularly, on October 21, 2008, a customer filed an investment related written complaint involving Mullins’ conduct, in which the customer requested $8,137.86 in damages based upon allegations that Mullins failed to timely execute the customer’s instructions to rollover the customer’s individual retirement account into a thrift savings program, which caused the customer to sustain losses on mutual fund investments.
Further, on October 15, 2012, a customer filed an investment related written complaint regarding Mullins’ activities, in which the customer requested $34,031.41 in damages based upon allegations that Mullins misstated the terms and conditions pertaining to a variable annuity investment.
Guiliano Law Group
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