CRD Sample Printouts
Without any Disciplinary Actions
CRD # 0000000 - Doe, Mary Jane
000-00-0000 - Born on 11 / 14 / 43
CE STATUS: SATISFIED
Broker (00000) 01/94 - present ABCZ INVESTMENT INCORPORATED
NASD-GS 01/28/94 Approved on 01/28/94
WA -AG 01/28/94 Approved on 01/28/94
Broker (0000) 03/88 - 01/94 XYZA & QVWT INCORPORATED
WA - AG 01/21/88 Termed on 01/28/94
NASD - GS 03/29/88 Termed on 01/28/94
No Disciplinary Records
Exam - S3 - On 01/21/88, obtained a grade of P, with a score
of 86
Exam - S63 - On 01/13/88, obtained a grade of P, with a score of
87
Exam - S65 - On 01/29/90, obtained a grade of P, with a score of
84
Exam - S65 - On 03/12/90, obtained a grade of P, with a score of
79
Exam - S7 - On 02/03/88, obtained a grade of P, with a score of
83
With Disciplinary Action
CRD # 0000000 - Doe, John Allen
000-00-0000 - Born on 11 / 14 / 43
CE STATUS: SATISFIED
Broker (00000) 01/94 - present XYZA & QVWT INVESTMENT
INCORPORATED
NASD-GS 01/28/94 Approved on 01/28/94
WA -AG 01/28/94 Approved on 01/28/94
Broker (0000) 03/88 - 01/94 ABCZ INCORPORATED
WA - AG 01/21/88 Termed on 01/28/94
CRD # 0000000 - Doe, John Allen
000-00-0000 - Born on 11 / 14 / 43
OCC. # |
INCIDENT TYPE(S) |
ACTION |
SOURCE |
DATE OF ACTION |
ITEM # |
2 |
X, Y4 | ARP |
NA |
5/30/96 |
22H1 |
1 |
X, Y4, X4, Z | ARO |
NA |
3/10/95 |
22H1 |
Occurrence 2:
1. Type of Event: ARBITRATION
2. Update: NO
3. Arbitration Forum; NASD
4. Case Name: Peter Doely & Susan Doely VS. XYZA & QVWT INVESTMENT INCORPORATED and John Allen Doe
5. Case Served Date: 5/30/96
6. Case #: 00-000000
7a. Allegations: CHURNING; SUITABILITY; MISREPRESENTATION
7b. Type of Securities: COMMON STOCK
7c. Relief Asked: ACTUAL/COMPENSATORY DAMAGES, ASKED AMOUNT $000,000, ATTORNEY’S FEES, ASKED AMOUNT $00,000
8a. Current Status: PENDING
8b. Status Date: Not Provided
Occurrence 1:
1. Type of Event: ARBITRATION
2. Update: YES
3. Arbitration Forum: UNKNOWN
4. Case Name: Jane Marcia Smith vs. XYZA & QVWT INVESTMENT INCORPORATED, ET AL.
5. Case Served Date: 03/10/95
6. Case #: 000-00000
7a. Allegations: ACCOUNT RELATED-NEGLIGENCE; SUITABILITY
7b. Type of Securities: COMMON STOCK; PREFERRED STOCK; OPTIONS
7c. Relief Asked: Not Provided
8a. Current Status: CASE CLOSED, SETTLED/OTHER
8b. Status Date: Not Provided
8c. Relief Awarded: Not Provided
Exam - S3 - On 01/21/88, obtained a grade of P, with a score
of 86
Exam - S63 - On 01/13/88, obtained a grade of P, with a score of
87
Exam - S65 - On 01/29/90, obtained a grade of P, with a score of
84
Exam - S65 - On 03/12/90, obtained a grade of P, with a score of
79
Exam - S7 - On 02/03/88, obtained a grade of P, with a score of
83
