Public disclosure records via FINRA’s BrokerCheck reveal that on July 26, 2016, Jeffrey E. Sigman, of Englewood, Colorado, was terminated by Neidiger, Tucker, Bruner, Inc. Apparently, the firm permitted Sigman to resign amid allegations of violating the firm’s policies regarding outside business activities.
The firm indicated that it conducted an internal review into Sigman after being contacted by Financial Industry Regulatory Authority (FINRA) regarding Sigman’s engagement in outside business activities. The firm seemingly discovered inconsistencies and other inaccurate information contained in the disclosures made by Sigman to the firm. Apparently, after the firm requested and analyzed additional information in this regard, it concluded that Sigman did not abide by the firm’s written supervisory procedures concerning outside business activities. As such, the firm permitted Sigman to resign.
Public disclosure records via FINRA’s BrokerCheck reveal that on May 26, 1994, Sigman settled a customer complaint for $50,000.00 amid allegations of engaging in unauthorized transactions. Apparently, Sigman effected a trade involving two-thousand shares of Digital Equip. PFD, when a corporate charter prohibited Sigman from effecting trades in securities other than debt obligations of the United States.
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