NASD Registered Person: MARK RICHARD FRENCH
CRD Number: 2042665
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REPORT SUMMARY
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Employment History
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Current Employments: 2
Registrations: 24
Previous Employments: 6
Disclosure Events: Yes
Criminal Actions: 0
Regulatory Actions: 0
Civil Judicial Actions: 0
Terminations: 0
Customer Complaints: 1
Investigations: 0
Bonds: 0
Bankruptcies: 0
Judgment/Liens: 0
CURRENT EMPLOYMENT
**************** CURRENT EMPLOYMENT (1 of 2) ****************
Employing Firm: SCOTT & STRINGFELLOW, INC.
Firm CRD Number: 6255
Office of Employment address: 288 MEETING STREET 2ND FLOOR
CHARLESTON, SC 29401
USA
Start Date: 08/15/2001 End Date: to present
**************** CURRENT EMPLOYMENT (2 of 2) ****************
Employing Firm: I.D.S.
Firm CRD Number:
Office of Employment address: IRVINE, CA
Start Date: 02/01/1994 End Date: to present
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NASD Public Disclosure Program October 21, 2003 Page 3
This information is current as of: 10/21/2003
________________________________________________________________________________
NASD Registered Person: MARK RICHARD FRENCH
CRD Number: 2042665
PREVIOUS EMPLOYMENT
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*************** PREVIOUS EMPLOYMENT (1 of 6) ***************
Employing Firm: PRESIDENTIAL BROKERAGE, INC.
Firm CRD Number:
Office of Employment address: CHARLESTON, SC
Start Date: 09/1998 End Date: 08/2001
*************** PREVIOUS EMPLOYMENT (2 of 6) ***************
Employing Firm: WALDRON & CO., INC.
Firm CRD Number:
Office of Employment address: CHARLESTON, SC
Start Date: 11/1997 End Date: 09/1998
*************** PREVIOUS EMPLOYMENT (3 of 6) ***************
Employing Firm: MARCH & CO
Firm CRD Number:
Office of Employment address: COSTA MESA, CA
Start Date: 03/1995 End Date: 11/1997
*************** PREVIOUS EMPLOYMENT (4 of 6) ***************
Employing Firm: FINANCIAL WEST GROUP
Firm CRD Number:
Office of Employment address: WESTLAKE VILLAGE, CA
Start Date: 06/1994 End Date: 03/1995
*************** PREVIOUS EMPLOYMENT (5 of 6) ***************
Employing Firm: UNEMPLOYED
Firm CRD Number:
Office of Employment address: IRVINE, CA
Start Date: 01/1994 End Date: 02/1994
*************** PREVIOUS EMPLOYMENT (6 of 6) ***************
Employing Firm: T-CON INVESTMENTS
Firm CRD Number:
Office of Employment address: BAKERSFIELD, CA
Start Date: 07/1993 End Date: 06/1994
NASD Public Disclosure Program October 21, 2003 Page 4
This information is current as of: 10/21/2003
________________________________________________________________________________
NASD Registered Person: MARK RICHARD FRENCH
CRD Number: 2042665
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CUSTOMER COMPLAINTS
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________________________________________________________________________________
NASD Registered Person: MARK RICHARD FRENCH
CRD Number: 2042665
CUSTOMER COMPLAINTS(cont.)
******** CUSTOMER COMPLAINT (1 of 1) ********
Reporting Source: Firm (Form U-5)
Date Reported: 06/13/2003
Date Received: 11/07/2001
Employing Firm: PRESIDENTIAL BROKERAGE, INC.
Allegations: CUSTOMERS ALLEGE SALES PRACTIVE VLIOLATIONS MY MR. KEY
INCLUDING CHURNING, NEGLIGENCE, OMMISSION OF MATERIAL FACTS,
FRAUD AND BREACH OF FIDUCIARY DUTY BETWEEN OCTOBER 1998 AND
MARCH 1999. ALLEGATIONS AGAINST RESPONDENTS MARK FRENCH AND
PATRICIA FRENCH INCLUDE FAILURE TO SUPERVISE AND AIDING AND
ABETTING NEGLIGENCE. IT SHOULD BE NOTED THAT MARK FRENCH NEVER
HELD A SUPERVISORY POSITION WHILE EMPLOYED AT PRESIDENTIAL
BROKERAGE.
Alleged Damages: $248,620.00
Action Pending?: No
Resolution: Civil Litigation
Resolution
Date: 11/07/2001
Court Details: CHARLESTON COUNTY COURT - CHARLESTON, S.C. CASE # 01-CP-10-4016
Service Date: 10/19/2001
Pending?: Yes
Disposition
Details:
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Reporting Source: Broker (Form U-4)
Date Reported: 08/13/2003
Date Received: 11/07/2001
Employing Firm: PRESIDENTIAL BROKERAGE INC
Allegations: CUSTOMERS ALLEGE SALES PRACTICE VIOLATIONS BY MR. KEY INCLUDING
CHURNING, NEGLIGENCE, OMMISSION OF MATERIAL FACTS, FRAUD AND
BREACH OF FIDUCIARY DUTY BETWEEN OCTOBER 1998 AND MARCH 1999.
ALLEGATIONS AGAINST RESPONDENTS MARK FRENCH AND PATRICIA
FRENCH INCLUDE FAILURE TO SUPERVISE AND AIDING AND ABETTING
NEGLIGENCE. IT SHOULD BE NOTED THAT MARK FRENCH NEVER HELD A
SUPERVISORY POSITION WHILE EMPLOYED AT PRESIDENTIAL BROKERAGE.
Alleged Damages: $248,620.00
Action Pending?: No
Resolution: Civil Litigation
Resolution
Date: 11/07/2001
Court Details: CHARLESTON COUNTY COURT-CHARLESTON, SC CASE # 01-CP-10-4016
Service Date: 10/19/2001
Pending?: Yes
Disposition
Details:
************ END OF REPORT ************ |
