Glen David Haddock of Petaluma California the President of Investment Architects Inc. is the subject of a customer initiated investment related arbitration claim in which the customer requested $1,250,000.00 in compensatory damages and $2,500,000.00 in punitive damages supported by allegations that the firm failed to prevent excessive trading in the customer’s account between 2004 and 2017. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-02703 (Nov. 6, 2017).
FINRA Public Disclosure also reveals that Haddock has been previously fined $7,500.00 by National Association of Securities Dealers (NASD) according to a National Adjudicatory Council Decision containing findings that Haddock, among other things, failed to supervise International Architects’ practices to ensure that the firm complied with the terms of contingency offerings under Securities and Exchange Commission (SEC) Rules 15c2-4 and 10b-9; his conduct was found to be violative of NASD Conduct Rules 3010 and 3110. Case No. C0104001 (Sept. 6, 2005).
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