MICHAEL SHAUGHNESSY ALFRED
(MICHAEL S ALFRED,MIKE S. ALFRED)
Currently Not Registered
ARBITRATION ALLEGES THAT THE PRODUCERS CAUSED THE CLAIMANTS TO BE APPLIED TO SECURITIES, POLICIES, ANNUITIES AND OTHER FINANCIAL INSTRUMENTS WHICH WERE UNSUITABLE, IRRESPONSIBLE, NOT REASONABLY NEEDED AND LACKING A STRATEGY FOR RISK MANAGEMENT.
Damage Amount Requested
State Securities Law Exam
Series 65 – Uniform Investment Adviser Law Examination
Jan 2, 2003
Series 63 – Uniform Securities Agent State Law Examination
Apr 16, 2002
General Industry/Products Exam
Series 7 – General Securities Representative Examination
Nov 1, 2002
Series 6 – Investment Company Products/Variable Contracts Representative Examination
Apr 16, 2002
04/21/2005 – 10/30/2007
LA JOLLA, CA
11/04/2002 – 04/07/2005
NEW YORK, NY
04/17/2002 – 07/29/2002
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