Tamara Rae Steele of Pendleton Indiana is a stockbroker formerly registered with Comprehensive Asset Management and Servicing Inc. who has been fired on June 13 2017 based upon accusations that she engaged in private securities transactions that involved several of the firm’s customers even though Steele never gained the firm’s authorization to engage in those activities.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Steele has been identified in two customer initiated investment related disputes containing allegations of Steele’s misconduct during the time that she was employed with Comprehensive Asset Management and Servicing, Inc.
Particularly, two customers filed investment related arbitration claims involving Steele’s conduct, in which the customers collectively requested $520,026.03 in damages supported by accusations of violations of NYSE and FINRA rules, violations of the Indiana Securities Act, breach of fiduciary duty, selling away, negligence in the handling of the customer’s account, and suitability in reference to promissory notes and unregistered securities transactions executed in the customers’ accounts between February of 2014 and June of 2015. FINRA Arbitration No. 17-01767 (July 7, 2017); FINRA Arbitration No. 17-01825 (July 12, 2017).
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