Public records published by the Financial Industry Regulatory Authority (FINRA) and accessed on February 12, 2018 indicate that former Arizona-based Union Capital Company broker/adviser George Hallad has received resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hallad (CRD# 234371).
George Hallad has spent 45 years in the securities industry and was most recently registered with Union Capital Company in Tucson, Arizona (2009-2017). Previous registrations include Wedbush Morgan Securities in Palm Desert, California (2003-2009); Torrey Pines Securities in San Diego, California (1999-2003); JW Charles Securities in Boca Raton, Florida (1998); Whale Securities Company in New York, New York (2997-1998); Prudential Securities Company in New York, New York (1969-1996); Bache Halsey Stuart (1976); and Bache & Company (1969-1976). He has passed eight securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on September 27, 1994; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on September 21, 1983; Series 5 (Interest Rate Options Examination), which he obtained on November 19, 1981; Series 000 (General Securities Principal Examination), which he obtained on April 21, 1969; Series 1 (Registered Representative Examination), which he obtained on April 21, 1969; Series 4 (Registered Options Principal Examination), which he obtained on September 13, 1977; Series 40 (Registered Principal Examination), which he obtained on December 5, 1974; and Series 12 (NYSE Branch Manager Examination), which he obtained on November 21, 1974. He is currently not registered with any state or firm.
According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.
In 2016 a customer alleged George Hallad, while employed at Union Capital Company, made unsuitable investment recommendations involving common and preferred stock products as well as over-the-counter stock products. The customer is seeking $500,000 in damages in the pending complaint.
In 1998 a customer alleged George Hallad, while employed at Prudential Securities, recommended unsuitable products. The complaint settled for $50,000.
In 1991 a customer alleged George Hallad, while employed at Prudential Securities, made unsuitable investment recommendations. The complaint settled for $15,000.
If you have lost money investing with George Hallad, you may be entitled to recoup your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.