Timothy David Ballard (also known as Tim Ballard) of Danville California a stockbroker employed by National Planning Corporation is referenced in a customer initiated investment related arbitration claim where the customer sought more than $100,000.00 in damages supported by allegations that (1) the customer’s account was handled in a negligent manner (2) fiduciary obligations were…
Timothy David Ballard, of Livermore, California, a stockbroker formerly registered with Securities America, Inc., has been suspended from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon allegations that he neglected to communicate with FINRA about his business activities. Letter No. 2016052555401 (May 12, 2017). FINRA Public Disclosure reveals that…