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11/03/15 11:05 AM

#98360 RE: DaReal #98359

While Krueger is archaic, he has a long laundry list of employers. Can't hold a job?

11/1988 - 12/2013
CANTERBURY CONSULTING INCORPORATED (CRD# 22875) - NEWPORT BEACH, CA
11/1981 - 01/1989
KIDDER, PEABODY & CO. INCORPORATED (CRD# 7613) - NEW YORK, NY
02/1978 - 11/1981
DEAN WITTER REYNOLDS INC. (CRD# 7556)
06/1976 - 02/1978
REYNOLDS SECURITIES, INC. (CRD# 712)
11/1974 - 08/1976
SHEARSON HAYDEN STONE INC. (CRD# 6774)
06/1974 - 11/1974
HAYDEN STONE INC. (CRD# 6567)
12/1973 - 06/1974
W. E. HUTTON & CO. (CRD# 861)
12/1972 - 01/1974
NEWBURGER, LOEB & CO., INC. (CRD# 618)
09/1972 - 12/1972
WILLIAM HUTCHINSON & CO., INC. (CRD# 2262)
11/1968 - 10/1972
DEAN WITTER & CO. INCORPORATED (CRD# 6466)
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11/03/15 11:06 AM

#98361 RE: DaReal #98359

Churn'em and burn'em, nice way to start your career:

05/01/1973 Customer Dispute - Settled
AllegationsDEAN WITTER AND MR. KRUEGER WERE CHARGED WITH BREACH OF FIDUCIARY DUTY, UNSUITABLE TRANSACTIONS, CHURNING AND VIOLATION OF BLUE SKY LAWS FOR THE STATE OF OREGON.
Damages Granted$23,000.00
Broker CommentNot Provided Not Provided
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11/03/15 11:08 AM

#98362 RE: DaReal #98359

Canterbury withdrew its registration with FINRA in 2013. In 2001, it was fined for being broke, i.e. failed to maintain net cap.

They also failed to file in Illinois, and lied to the state of Alabama on an application.