JAMES ROBERT GLOVER - Peiffer Rosca Wolf Abdullah Carr · BrokerCheck Report JAMES ROBERT GLOVER Report #54128-11269, data current as of Wednesday, August 26, 2015. Section Title

BrokerCheck Report

JAMES ROBERT GLOVER

Report #54128-11269, data current as of Wednesday, August 26, 2015.

Section Title

Report Summary

Broker Qualifications

Registration and Employment History

Disclosure Events

CRD# 1296755

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2 - 3

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5

Page(s)

http://www.finra.org

About BrokerCheck®

BrokerCheck offers information on all current, and many former, registered securities brokers, and all current and formerregistered securities firms. FINRA strongly encourages investors to use BrokerCheck to check the background ofsecurities brokers and brokerage firms before deciding to conduct, or continue to conduct, business with them.

·· What is included in a BrokerCheck report?BrokerCheck reports for individual brokers include information such as employment history, professionalqualifications, disciplinary actions, criminal convictions, civil judgments and arbitration awards. BrokerCheckreports for brokerage firms include information on a firm’s profile, history, and operations, as well as many of thesame disclosure events mentioned above.Please note that the information contained in a BrokerCheck report may include pending actions or allegationsthat may be contested, unresolved or unproven. In the end, these actions or allegations may be resolved in favorof the broker or brokerage firm, or concluded through a negotiated settlement with no admission or finding ofwrongdoing.

·· Where did this information come from?The information contained in BrokerCheck comes from FINRA’s Central Registration Depository, or CRD® and isa combination of:

o information FINRA and/or the Securities and Exchange Commission (SEC) require brokers andbrokerage firms to submit as part of the registration and licensing process, and

o information that regulators report regarding disciplinary actions or allegations against firms or brokers.

·· How current is this information?Generally, active brokerage firms and brokers are required to update their professional and disciplinaryinformation in CRD within 30 days. Under most circumstances, information reported by brokerage firms, brokersand regulators is available in BrokerCheck the next business day.

·· What if I want to check the background of an investment adviser firm or investment adviserrepresentative?To check the background of an investment adviser firm or representative, you can search for the firm or individualin BrokerCheck. If your search is successful, click on the link provided to view the available licensing andregistration information in the SEC's Investment Adviser Public Disclosure (IAPD) website athttp://www.adviserinfo.sec.gov. In the alternative, you may search the IAPD website directly or contact your statesecurities regulator at http://www.finra.org/Investors/ToolsCalculators/BrokerCheck/P455414.

·· Are there other resources I can use to check the background of investment professionals?FINRA recommends that you learn as much as possible about an investment professional before deciding to workwith them. Your state securities regulator can help you research brokers and investment adviser representativesdoing business in your state.

Thank you for using FINRA BrokerCheck.

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brokercheck.finra.org



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JAMES R. GLOVER

CRD# 1296755

This broker is not currently registered.

Report Summary for this Broker

This report summary provides an overview of the broker's professional background and conduct. Additionalinformation can be found in the detailed report.

Disclosure Events

All individuals registered to sell securities or provideinvestment advice are required to disclose customercomplaints and arbitrations, regulatory actions,employment terminations, bankruptcy filings, andcriminal or civil judicial proceedings.

Are there events disclosed about this broker? Yes

The following types of disclosures have beenreported:

Type Count

Regulatory Event 1

Customer Dispute 77

Termination 1

Investment Adviser RepresentativeInformation

http://www.adviserinfo.sec.gov

The information below represents the individual'srecord as a broker. For details on this individual'srecord as an investment adviser representative,visit the SEC's Investment Adviser PublicDisclosure website at



This broker has passed:

0 Principal/Supervisory Exams

2 General Industry/Product Exams

2 State Securities Law Exams

Registration History

This broker was previously registered with thefollowing securities firm(s):

SIGNATOR INVESTORS, INC.CRD# 468TOWSON, MD05/1998 - 05/2012

NEW ENGLAND SECURITIESCRD# 615NEW YORK, NY11/1991 - 05/1998

MML INVESTORS SERVICES, INC.CRD# 10409SPRINGFIELD, MA03/1996 - 12/1997

www.finra.org/brokercheck User Guidance

1©2015 FINRA. All rights reserved. Report# 54128-11269 about JAMES R. GLOVER. Data current as of Wednesday, August 26, 2015.


http://www.adviserinfo.sec.gov/IAPD/support/IAPD_Summary_Link.aspx?IndividualID=1296755&Source=Report

http://www.finra.org/brokercheck

http://www.finra.org/brokercheck_reports



Registrations

This section provides the self-regulatory organizations (SROs) and U.S. states/territories the broker is currentlyregistered and licensed with, the category of each license, and the date on which it became effective. This section alsoprovides, for every brokerage firm with which the broker is currently employed, the address of each branch where thebroker works.








Industry Exams this Broker has Passed

This individual has passed 0 principal/supervisory exams, 2 general industry/product exams, and 2 statesecurities law exams.

This section includes all securities industry exams that the broker has passed. Under limited circumstances, a brokermay attain a registration after receiving an exam waiver based on exams the broker has passed and/or qualifying workexperience. Any exam waivers that the broker has received are not included below.

Exam Category Date

Principal/Supervisory Exams

No information reported.

Exam Category Date

General Industry/Product Exams

Investment Company Products/Variable Contracts Representative Examination 08/30/1984Series 6

Direct Participation Programs Representative Examination 10/25/1984Series 22

Exam Category Date

State Securities Law Exams

Uniform Securities Agent State Law Examination 01/24/1985Series 63

Uniform Investment Adviser Law Examination 02/18/1997Series 65

Additional information about the above exams or other exams FINRA administers to brokers and other securitiesprofessionals can be found at www.finra.org/brokerqualifications/registeredrep/.






Registration and Employment History

Registration History

Registration Dates Firm Name CRD# Branch Location

The broker previously was registered with the following firms:

05/1998 - 05/2012 SIGNATOR INVESTORS, INC. 468 TOWSON, MD

11/1991 - 05/1998 NEW ENGLAND SECURITIES 615 NEW YORK, NY

03/1996 - 12/1997 MML INVESTORS SERVICES, INC. 10409 SPRINGFIELD, MA

01/1996 - 03/1996 G. R. PHELPS & CO., INC. 173

09/1984 - 02/1993 G. R. PHELPS & CO., INC. 173

Employment History

Employment Dates Employer Name Employer Location

This section provides up to 10 years of an individual broker's employment history as reported by the individual broker onthe most recently filed Form U4.

Please note that the broker is required to provide this information only while registered with FINRA or a nationalsecurities exchange and the information is not updated via Form U4 after the broker ceases to be registered.Therefore, an employment end date of "Present" may not reflect the broker's current employment status.

05/1998 - Present SIGNATOR INVESTORS, INC. BOSTON, MA

03/1995 - Present CONNECTICUT MUTUAL LIFE INSURANCE CO TIMONIUM, MD

06/1976 - Present ESSEX CUMMUNITY COLLEGE BALTIMORE, MD

Other Business Activities

This section includes information, if any, as provided by the broker regarding other business activities the broker iscurrently engaged in either as a proprietor, partner, officer, director, employee, trustee, agent or otherwise. This sectiondoes not include non-investment related activity that is exclusively charitable, civic, religious or fraternal and isrecognized as tax exempt.

DBA: GW FINANCIAL GROUP, INCBROKER-LIFE.ANNUTIES






Disclosure Events

What you should know about reported disclosure events:

1. All individuals registered to sell securities or provide investment advice are required to disclose customercomplaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings, and criminal or civiljudicial proceedings.

2. Certain thresholds must be met before an event is reported to CRD, for example: o A law enforcement agency must file formal charges before a broker is required to disclose a particular

criminal event. o A customer dispute must involve allegations that a broker engaged in activity that violates certain rules

or conduct governing the industry and that the activity resulted in damages of at least $5,000.

3. Disclosure events in BrokerCheck reports come from different sources: o As mentioned at the beginning of this report, information contained in BrokerCheck comes from brokers,

brokerage firms and regulators. When more than one of these sources reports information for the samedisclosure event, all versions of the event will appear in the BrokerCheck report. The different versionswill be separated by a solid line with the reporting source labeled.

4. There are different statuses and dispositions for disclosure events: o A disclosure event may have a status of pending, on appeal, or final.

§ A "pending" event involves allegations that have not been proven or formally adjudicated.§ An event that is "on appeal" involves allegations that have been adjudicated but are currently

being appealed.§ A "final" event has been concluded and its resolution is not subject to change.

o A final event generally has a disposition of adjudicated, settled or otherwise resolved.§ An "adjudicated" matter includes a disposition by (1) a court of law in a criminal or civil matter, or

(2) an administrative panel in an action brought by a regulator that is contested by the partycharged with some alleged wrongdoing.

§ A "settled" matter generally involves an agreement by the parties to resolve the matter. Pleasenote that brokers and brokerage firms may choose to settle customer disputes or regulatorymatters for business or other reasons.

§ A "resolved" matter usually involves no payment to the customer and no finding of wrongdoingon the part of the individual broker. Such matters generally involve customer disputes.

For your convenience, below is a matrix of the number and status of disclosure events involving this broker.Further information regarding these events can be found in the subsequent pages of this report. You also maywish to contact the broker to obtain further information regarding these events.

Final On AppealPending

Regulatory Event 0 1 0






Customer Dispute 2 75 N/A

Termination N/A 1 N/A






Disclosure Event Details

When evaluating this information, please keep in mind that a discloure event may be pending or involve allegationsthat are contested and have not been resolved or proven. The matter may, in the end, be withdrawn, dismissed,resolved in favor of the broker, or concluded through a negotiated settlement for certain business reasons (e.g., tomaintain customer relationships or to limit the litigation costs associated with disputing the allegations) with noadmission or finding of wrongdoing.

This report provides the information exactly as it was reported to CRD and therefore some of the specific data fieldscontained in the report may be blank if the information was not provided to CRD.

Regulatory - Final

This type of disclosure event may involves (1) a final, formal proceeding initiated by a regulatory authority (e.g., a statesecurities agency, self-regulatory organization, federal regulatory such as the Securities and Exchange Commission,foreign financial regulatory body) for a violation of investment-related rules or regulations; or (2) a revocation orsuspension of a broker's authority to act as an attorney, accountant, or federal contractor.

Disclosure 1 of 1

Reporting Source: Regulator

Regulatory Action InitiatedBy:

FINRA

Sanction(s) Sought: Other: N/A

Date Initiated: 01/18/2013

Docket/Case Number: 2012032782401

Employing firm when activityoccurred which led to theregulatory action:

SIGNATOR INVESTORS, INC.

Product Type: No Product

Allegations: FINRA RULES 2010, 8210 - JAMES ROBERT GLOVER FAILED TO RESPONDTO A FINRA REQUEST TO APPEAR FOR TESTIMONY IN REGARD TO ANINVESTIGATION INTO ALLEGATIONS THAT GLOVER MISAPPROPRIATEDFUNDS FROM A FIRM CUSTOMER AND CONDUCTED UNDISCLOSEDOUTSIDE BUSINESS ACTIVITIES THROUGH WHICH HE SOLDUNREGISTERED SECURITIES PRODUCTS. GLOVER'S COUNSEL REPORTEDTO FINRA THAT GLOVER WOULD NOT APPEAR AND PROVIDE TESTIMONY.

Current Status: Final

Resolution: Acceptance, Waiver & Consent(AWC)

Does the order constitute afinal order based onviolations of any laws orregulations that prohibitfraudulent, manipulative, ordeceptive conduct?





http://disciplinaryactions.finra.org/Search.aspx?CaseNB=2012032782401


Resolution Date: 01/18/2013

Sanctions Ordered:

Does the order constitute afinal order based onviolations of any laws orregulations that prohibitfraudulent, manipulative, ordeceptive conduct?

No

Bar (Permanent)

If the regulator is the SEC,CFTC, or an SRO, did theaction result in a finding of awillful violation or failure tosupervise?

No

(1) willfully violated anyprovision of the SecuritiesAct of 1933, the SecuritiesExchange Act of 1934, theInvestment Advisers Act of1940, the InvestmentCompany Act of 1940, theCommodity Exchange Act, orany rule or regulation underany of such Acts, or any ofthe rules of the MunicipalSecurities Rulemaking Board,or to have been unable tocomply with any provision ofsuch Act, rule or regulation?

(2) willfully aided, abetted,counseled, commanded,induced, or procured theviolation by any person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any of suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board? or






Regulator Statement WITHOUT ADMITTING OR DENYING THE FINDINGS, GLOVER CONSENTEDTO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS;THEREFORE, HE IS BARRED FROM ASSOCIATION WITH ANY FINRAMEMBER IN ANY CAPACITY.

(2) willfully aided, abetted,counseled, commanded,induced, or procured theviolation by any person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any of suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board? or

(3) failed reasonably tosupervise another personsubject to your supervision,with a view to preventing theviolation by such person ofany provision of theSecurities Act of 1933, theSecurities Exchange Act of1934, the InvestmentAdvisers Act of 1940, theInvestment Company Act of1940, the CommodityExchange Act, or any rule orregulation under any suchActs, or any of the rules ofthe Municipal SecuritiesRulemaking Board?

Capacities Affected: ANY CAPACITY

Duration: N/A

Start Date: 01/18/2013

End Date:

Sanction 1 of 1

Sanction Type: Bar (Permanent)






Regulator Statement WITHOUT ADMITTING OR DENYING THE FINDINGS, GLOVER CONSENTEDTO THE DESCRIBED SANCTION AND TO THE ENTRY OF FINDINGS;THEREFORE, HE IS BARRED FROM ASSOCIATION WITH ANY FINRAMEMBER IN ANY CAPACITY.






Customer Dispute - Award/Judgment

This type of disclosure event involves a final, consumer-initiated, investment-related arbitration or civil suit containingallegations of sales practice violations against the broker that resulted in an arbitration award or civil judgment for thecustomer.

Disclosure 1 of 1

Reporting Source: Firm

Employing firm whenactivities occurred which ledto the complaint:

Allegations:


CUSTOMER ALLEGES MISREPRESENTATION REGARDING AN INVESTMENTRECOMMENDED BY THE REGISTERED REPRESENTATIVE.

Product Type: Real Estate Security

Alleged Damages: $0.00

Date Complaint Received: 01/11/2013

Complaint Pending? No

Status:

Status Date: 03/08/2013

Settlement Amount:

Individual ContributionAmount:

Customer Complaint Information

Arbitration Information

Evolved into Arbitration/CFTC reparation (the individual is a named party)

Alleged Damages AmountExplanation (if amount notexact):

UNDETERMINED.

Is this an oral complaint? No

Is this a written complaint? Yes

Is this an arbitration/CFTCreparation or civil litigation?

No

Arbitration/CFTC reparationclaim filed with (FINRA, AAA,CFTC, etc.):

FINRA

Docket/Case #: 13-0057911©2015 FINRA. All rights reserved. Report# 54128-11269 about JAMES R. GLOVER. Data current as of Wednesday, August 26, 2015.




http://finraawardsonline.finra.org/Search.aspx?CaseNum=13-00579


Date Notice/Process Served: 03/08/2013

Arbitration Pending? No

Disposition: Award to Customer

Disposition Date: 03/27/2014

Monetary CompensationAmount:

$1,588,896.00


$0.00

Docket/Case #: 13-00579





http://finraawardsonline.finra.org/Search.aspx?CaseNum=13-00579


Customer Dispute - Settled

This type of disclosure event involves a consumer-initiated, investment-related complaint, arbitration proceeding or civilsuit containing allegations of sale practice violations against the broker that resulted in a monetary settlement to thecustomer.

Disclosure 1 of 63



Allegations:


CLIENT ALLEGES REP MISREPRESENTED AN UNDISCLOSED ANDUNAPPROVED OUTSIDE INVESTMENT.





Disposition: Settled



$140,000.00



$0.00


UNABLE TO DETERMINE THAT ALLEGED DAMAGES WOULD BE LESS THAN$5000.


FINRA


Disclosure 2 of 63

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Allegations:


CLIENT ALLEGES REP MISREPRESENTED UNDISCLOSED ANDUNAPPROVED OUTSIDE INVESTMENT








$500,000.00



$0.00


UNABLE TO DETERMINE ALLEGED DAMAGES TO BE LESS THAN $5000.


FINRA


Disclosure 3 of 63

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Allegations:


CLIENT ALLEGE MISREPRESENTATION OF UNAPPROVED ANDUNDISCLOSED OUTSIDE INVESTMENT











Status:


Settlement Amount: $89,274.00


$0.00


Settled


FIRM CANNOT DETERMINE ALLEGED DAMAGES TO BE LESS THAN $5000.




No

Disclosure 4 of 63

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Allegations:


CUSTOMER DISSATISFIED WITH PRIVATE PLACEMENT SOLD BYREPRESENTATIVE.


Alleged Damages: $25,000.00


Complaint Pending?





No







Status:




$0.00

Settled

Disclosure 5 of 63

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Allegations:


CLIENT DISSATISFIED WITH PRIVATE PLACEMENT INVESTMENT MADEWITH REPRESENTATIVE.





Status:




$0.00


Settled


NO DAMAGE AMOUNT IS ALLEGED.




No






Disclosure 6 of 63

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Allegations:


CLIENT ALLAGES THAT THE REPRESENTATIVE MISREPRESENTED A REALESTATE INVESTMENT





Status:




$0.00


Settled




No

Disclosure 7 of 63

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Allegations:


CLIENTS ALLEGE THAT THE REPRESENTATIVE MISREPRESENTED A REALESTATE INVESTMENT










Status:




$0.00


Settled




No

Disclosure 8 of 63

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Allegations:


COMPLAINT ALLEGES MISREPRESENTATION REGARDING INVESTMENTSIN A REAL ESTATE SECURITY






Yes

Arbitration/Reparation forumor court name and location:

CIRCUIT COURT FOR DORCHESTER COUNTY, MD

Docket/Case #: 09-C-13-020986

Filing date ofarbitration/CFTC reparationor civil litigation:

11/08/2013








Status:




$0.00


Litigation Pending? No




$202,500.00


$0.00


Civil Litigation Information

Settled

Type of Court: State Court

Name of Court: CIRCUIT COURT OF DORCHESTER COUNTY

Location of Court: DORCHESTER COUNTY, MARYLAND

Docket/Case #: 09-C-13-020986

Disclosure 9 of 63

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Allegations:


CLIENT ALLEGES REPRESENTATIVE MISREPRESENTED SALE OFUNAPPROVED OUTSIDE INVESTMENT.











Status:


Settlement Amount:







$142,295.00

Firm Statement SEPARATE DRP AMENDED TO SEPARATE COMPLAINANTS INTO THEIROWN RESPECTIVE DRP.




$0.00



IN EXCESS OF $5,000.00




No


FINRA


Disclosure 10 of 63

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Disclosure 10 of 63



Allegations:


CLIENT ALLEGES REPRESENTATIVE MISREPRESENTED SALE OFUNAPPROVED OUTSIDE INVESTMENT.





Status:


Settlement Amount:













No


FINRA










$65,705.00

Firm Statement ORIGINAL DRP AMENDED TO REFLECT A SEPARATE DRP FOR EACHCOMPLAINTANT.


$0.00

Disclosure 11 of 63

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Allegations:


INVESTORS ALLEGE REPRESENTATIVE MISREPRESENTED UNAPPROVEDOUTSIDE INVESTMENTS

Product Type: Promissory NoteReal Estate Security




Status:




$0.00


Settled






No







$0.00

Disclosure 12 of 63

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Allegations:


INVESTOR ALLEGES REPRESENTATIVE MISREPRESENTED UNAPPROVEDOUTSIDE INVESTMENTS





Status:




$0.00


Settled






No

Disclosure 13 of 63

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Allegations:


INVESTOR ALLEGES REPRESENTATIVE MISREPRESENTED SALE OFUNAPPROVED OUTSIDE INVESTMENTS.





Status:




$0.00


Settled


THE FIRM HAS DETERMINED THE ALLEGED DAMAGE IS IN EXCESS OF$5,000.




No

Disclosure 14 of 63

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Allegations:


INVESTOR ALLEGES REPRESENTATIVE MISREPRESENTED SALE OFUNAPPROVED OUTSIDE INVESTMENTS











Status:




$0.00


Settled


ALLEGED DAMAGES IS IN EXCESS OF $5,000.




No

Disclosure 15 of 63

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Allegations:


INVESTORS ALLEGE REPRESENTATIVE MISREPRESENTED SALE OFUNAPPROVED OUTSIDE INVESTMENT.





THE FIRM HAS DETERMINED THE ALLEGED DAMAGE AMOUNT IS INEXCESS OF $5000.




No








Status:




$0.00


Settled

Disclosure 16 of 63

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Allegations:


INVESTORS ALLEGE REPRESENTATIVE MISREPRESENTED UNAPPROVEDOUTSIDE INVESTMENTS.





Status:




Settled






No







$0.00

Disclosure 17 of 63

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Allegations:


INVESTOR ALLEGES REPRESENTATIVE MISREPRESENTED SALE OFUNAPPROVED OUTSIDE INVESTMENT.





Status:




$0.00


Settled






No

Disclosure 18 of 63

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Allegations:


INVESTORS ALLEGE REPRESENTATIVE MISREPRESENTED SALE OFUNAPPROVED OUTSIDE INVESTMENTS.





Status:




$0.00


Settled


THE FIRM HAD DETERMINED THE ALLEGED DAMAGE AMOUNT IS INEXCESS OF $5000.




Yes


FINRA DISPUTE RESOLUTION



06/27/2014

Disclosure 19 of 63

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Allegations:


CLIENT ALLEGES THAT GLOVER MISREPRESENTED AN INVESTMENT IN AREAL ESTATE SECURITY





Status:


Settlement Amount:










Yes


FINRA ARBITRATION



05/20/2014


FINRA ARBITRATION







Arbitration Pending?




$625,000.00


$0.00

Disclosure 20 of 63

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Allegations:


CLIENT ALLEGES GLOVER MISREPRESENTED HER REAL ESTATEINVESTMENT





Status:




$0.00


Settled




No

Disclosure 21 of 63

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Allegations:


CLIENT ALLEGES REAL ESTATE INVESTMENT WAS UNSUITABLE





Status:




$0.00


Settled




No

Disclosure 22 of 63

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Allegations:


CLIENT ALLEGES GLOVER MISREPRESENTED REAL ESTATE INVESTMENT







No








Status:




$0.00


Settled

Disclosure 23 of 63

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Allegations:


CLIENTS ALLEGE REAL ESTATE INVESTMENT WAS MISREPRESENTED





Status:

Status Date:


Settled




Yes


FINRA ARBITRATION



05/14/2014









$0.00






$629,388.00



$0.00


FINRA


Disclosure 24 of 63

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Allegations:

SIGNATOR INVESTORS, INC

CLIENT ALLEGES REPRESENTATIVE GLOVER MISREPRESENTEDINVESTMENT IN REAL ESTATE SECURITY



Date Complaint Received:





No








Status:




$0.00

Settled

Disclosure 25 of 63

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Allegations:


CLIENT ALLEGES REPRESENTATIVE MISREPRESENTED INVESTMENT INREAL ESTATE SECURITY





Status:




$0.00


Settled




No

Disclosure 26 of 63

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Allegations:


CLIENT ALLEGES REPRESENTATIVE MISLEAD THEM REGARDING REALESTATE INVESTMENT





Status:




$0.00


Settled




No

Disclosure 27 of 63

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Allegations:


CLIENT ALLEGES GLOVER MISREPRESENTED A REAL ESTATEINVESTMENT












Status:




$0.00


Settled

Is this a written complaint?


No

Disclosure 28 of 63

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Allegations:


MISREPRESENTATION OF INVESTMENT IN REAL ESTATE SECURITY





Status:

Status Date:


Settled


CLIENT ALLEGES DAMAGES "IN EXCESS OF ONE HALF MILLION DOLLARS"




No









$0.00

Disclosure 29 of 63

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Allegations:

SIGNATOR INVESTORS INC.

CLIENT ALLEGE MISREPRESENTATION OF SOLICITATION OF REAL ESTATESECURITY





Status:


Settlement Amount:


Settled


NO DAMAGE AMOUNT ALLEGED




Yes


FINRA ARBITRATION



11/07/2013






Settlement Amount: $4,685,879.30


$0.00

Firm Statement [OTHER CUSTOMER]; [OTHER CUSTOMER] AND [OTHERCUSTOMER]ADDED TO CASE AS OF 2/28/2014

Disclosure 30 of 63

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Allegations:


CLIENT ALLEGES MISREPRESENTATIVE BY REPRESENTATIVE GLOVERREGARDING THE SALE OF REAL ESTATE SECURITY





Status:




$0.00


Settled




No

Disclosure 31 of 63

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Allegations:


CLIENT ALLEGES REPRESENTATIVE GLOVER MISREPRESENTED ANINVESTMENT IN AN UNAPPROVED OUTSIDE BUSINESS ACTIVITY





Status:




$0.00


Settled




No

Disclosure 32 of 63

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Allegations:

NEW ENGLAND SECURITIES

PLAINTIFFS ALLEGED THE WHILE THE REPRESENTATIVE WAS EMPLOYEDBY THE FIRM, HE VIOLATED STATE SECURITIES LAW BY UNLAWFULSOLICITATION IN PRIVATE PLACEMENT SECURITIES ISSUED BY AN ENTITYOPERATING UNDER THE NAME OF "COLONIAL COMPANIES".

Product Type: Direct Investment-DPP & LP Interests



Type of Court:39©2015 FINRA. All rights reserved. Report# 54128-11269 about JAMES R. GLOVER. Data current as of Wednesday, August 26, 2015.










$749,750.00


$0.00

Firm Statement CORRECTING CUSTOMER NAME FROM PRIOR SUBMISSION.


Name of Court: CIRCUIT COURT OF DORCHESTER COUNTY

Location of Court: DORCHESTER COUNTY, MARYLAND

Docket/Case #: 09-C-13-020986 OT

Disclosure 33 of 63

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Allegations:


PLAINTIFFS ALLEGED THAT, WHILE EMPLOYED BY THE FIRM, THEREPRESENTATIVE MISREPRESENTED MATERIAL FACTS IN CONNECTIONWITH THE OFFER AND SALE OF SECURITIES ISSUED BY A BUSINESSENTERPRISE OPERATING UNDER THE NAME OF "COLONIAL COMPANIES".







Name of Court: CIRCUIT COURT FOR BALTIMORE COUNTY

Location of Court: TOWSON, MARYLAND

Docket/Case #: 03-C-13-012897 OT










$268,250.00


$0.00

iReporting Source: Firm


Allegations:


COMPLAINT ALLEGES MISREPRESENTATION REGARDING INVESTMENTSIN A REAL ESTATE SECURITY


Alleged Damages: $2,700,000.00



Status:




Settled




Yes


CIRCUIT COURT BALTIMORE COUNTY MARYLAND

Docket/Case #: 03C13012897


11/08/2013






Settlement Amount:


$0.00






$418,500.00


$0.00

Firm Statement [CUSTOMER], [CUSTOMER], [THIRD PARTY], [THIRD PARTY], [THIRDPARTY], [THIRD PARTY], [THIRD PARTY], [THIRD PARTY], [THIRD PARTY],[THIRD PARTY], [CUSTOMERS], [THIRD PARTY], [THIRD PARTY],[CUSTOMER], [CUSTOMER], [CUSTOMER], [CUSTOMER], [THIRD PARTY],[CUSTOMER], [CUSTOMER], [CUSTOMER], [CUSTOMER], [CUSTOMERS],[CUSTOMER], [OTHER CUSTOMER], [OTHER CUSTOMER], [OTHERCUSTOMER], AND [OTHER CUSTOMER] DISMISSED FROM THIS CASE ASOF 2/28/2014



Name of Court: CIRCUIT COURT BALTIMORE COUNTY MARYLAND

Location of Court: BALTIMORE COUNTY

Docket/Case #: 03C13012897

Disclosure 34 of 63

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Allegations:


CLIENT ALLEGES REPRESENTATIVE MISREPRESENTED INVESTMENT INREAL ESTATE SECURITY



Is this an oral complaint?








Status:




$0.00


Settled




No

Disclosure 35 of 63

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Allegations:


CLIENT ALLEGES REPRESENTATIVE GLOVER MISREPRESENTEDINVESTMENT IN REAL ESTATE SECURITY





Status:



Settled




No






Status Date:



$0.00

Disclosure 36 of 63

i



Allegations:


CLIENT ALLEGES REPRESENTATIVE GLOVER MISREPRESENTEDINVESMTENT IN REAL ESTATE SECURITY





Status:




$0.00


Settled


CLIENT DOES NOT KNOW THE DOLLAR AMOUNT INVESTED, BUTINDICATED THEY ESTIMATED IT AT ~$100,000




No

Disclosure 37 of 63

i








Allegations:


CLIENT ALLEGES REP MISREPRESENTED INVESTMENT IN OUTSIDEBUSINESS ACTIVITY WHICH WAS UNDISCLOSED AND UNAPPROVED.





Status:




$0.00


Settled




No

Disclosure 38 of 63

i



Allegations:


CLIENT ALLEGES REP INVESTED HER FUNDS IN AN UNAPPROVED ANDUNDISCLOSED OUTSIDE INVESTMENT.





Is this an arbitration/CFTCreparation or civil litigation? 45©2015 FINRA. All rights reserved. Report# 54128-11269 about JAMES R. GLOVER. Data current as of Wednesday, August 26, 2015.







Status:




$0.00


Settled


No

Disclosure 39 of 63

i



Allegations:


CLIENT ALLEGES REP MISREPRESENTED INVESTMENT IN OUTSIDEBUSINESS ACTIVITY WHICH WAS UNDISCLOSED AND UNAPPROVED.





Status:




$0.00


Settled




No







Disclosure 40 of 63

i



Allegations:


CLIENT ALLEGES REP MISREPRESENTED INVESMENT IN OUTSIDEBUSINESS ACTIVITY WHICH WAS UNDISCLOSED AND UNAPPROVED.





Status:


Settlement Amount:







DAMAGES ARE UNKNOWN.




No


FINRA











$90,000.00


$0.00

Disclosure 41 of 63

i



Allegations:


CLIENT ALLEGES GLOVER SOLICITED HER INVESTMENT IN ANUNAPPROVED OUTSIDE BUSINESS ACTIVITY





Status:




$0.00


Settled




No

Disclosure 42 of 63

i








Allegations:


CLIENT ALLEGES THE GLOVER PLACED THEM IN UNSUITABLEINVESTMENTS IN WHICH HE DID NOT PROPERLY DISCLOSE HISINVOLVEMENT

Product Type: Direct Investment-DPP & LP InterestsReal Estate Security




Status:




$0.00


Settled




No

Disclosure 43 of 63

i



Allegations:


CLIENT ALLEGES INVESTMENT IN UNDISCLOSED OUTSIDE BUSINESSACITIVYT WAS MISHANDLED AND NOT PROPERLY EXPLAINED




Yes49©2015 FINRA. All rights reserved. Report# 54128-11269 about JAMES R. GLOVER. Data current as of Wednesday, August 26, 2015.







Status:




$0.00


Settled



No

Disclosure 44 of 63

i



Allegations:


CLIENT ALLEGES INSURANCE PRODUCT SOLD WAS UNSUITABLE.

Product Type: Insurance




Status:




$0.00


Settled




No







$0.00

Disclosure 45 of 63

i



Allegations:

SIGNATOR INVESTORS. INC.

CLIENT ALLEGES GLOVER SOLD AN UNNAPROVED OUTSIDE INVESTMENT





Status:




$0.00


Settled


NO DAMAGE AMOUNT IS ALLEGED IN THE COMPLAINT




No

Disclosure 46 of 63

i



Allegations:







Allegations: CLIENT ALLEGES REP PLACED HER IN UNAPPROVED INVESTMENT.





Status:




$0.00


Settled




No

Disclosure 47 of 63

i



Allegations:


CLIENTS ALLEGE REPRESENTATIVE MISREPRESENTED AN UNDISCLOSEDOUTSIDE BUSINESS ACTIVITY AS A SANCTIONED INVESTMENT








No







Status:




$0.00

Settled

Disclosure 48 of 63

i



Allegations:


CLIENT ALLEGES FORMER REPRESENTATIVE GLOVER MISREPRESENTEDAN UNSUITABLE REAL ESTATE INVESTMENT WHICH WAS ANUNDISCLOSED OUTSIDE BUSINESS ACTIVITY





Status:




$0.00


Settled




No

Disclosure 49 of 63

i








Allegations:


CLIENT ALLEGES JAMES GLOVER MISREPRESENTED A SALE IN ANUNNAPPROVED OUTSIDE BUSINESS ACTIVITY.





Status:




$0.00


Settled




No

Disclosure 50 of 63

i



Allegations:


CLIENTS ALLEGE JAMES GLOVER ACTED INAPPROPRIATELY IN THE SALEOF VARIOUS PRIVATE PLACEMENTS

Product Type: Oil & GasReal Estate SecurityOther: CHARITABLE LOAN


Is this an oral complaint?54©2015 FINRA. All rights reserved. Report# 54128-11269 about JAMES R. GLOVER. Data current as of Wednesday, August 26, 2015.







Status:




$0.00


Settled




No

Disclosure 51 of 63

i



Allegations:


CLIENT ALLEGES REP ADVISED CLIENT TO INVEST IN UNSUITABLEOUTSIDE BUSINESS ACTIVITY WITHOUT DISCLOSING TO CLIENT THATINVESTMENT WAS NOT DISLCOSED TO OR APPROVED BY SIGNATOR.





Status:

Status Date:


Settled




No









$0.00

Disclosure 52 of 63

i



Allegations:


CLIENT ALLEGES REP MADE INVESTMENT ON CLIENT'S BEHALF IN ANUNDISCLOSED AND UNAPPROVED OUTSIDE BUSINESS ACTIVITY WITHOUTTHE CLIENT'S CONSENT. CLIENT ALSO ALLEGES THAT THE REP MADE ANUNSUITABLE RECOMMENDATION TO HER NOW DECEASED AUNT BYINVESTING HER AUNT'S MONEY IN THE SAME UNDISCLOSED ANDUNAPPROVED OUTSIDE BUSINESS ACTIVITY.





Status:




$0.00


Settled




No

Disclosure 53 of 63

i








Allegations:


CLIENT'S SON (HER POWER OF ATTORNEY) ALLEGES THAT INVESTMENTMADE IN UNDISCLOSED OUTSIDE BUSINESS ACTIVITY WAS UNSUITABLEFOR CLIENT AND THAT THE INVESTMENT WAS NOT REPRESENTED ASUNAPPROVED BY AND OUTSIDE OF SIGNATOR.





Status:




$0.00


Settled


DAMAGES NOT LISTED; UNCLEAR HOW MUCH WAS INVESTED.




No

Disclosure 54 of 63

i



Allegations:


CLIENT ALLEGES REP MISREPRESENTED NATURE OF INVESTMENT IN ANUNDISCLOSED OUTSIDE BUSINESS ACTIVITY.










Status:




$0.00


Settled


DAMAGES NOT LISTED BY CLIENT; UNCLEAR HOW MUCH CLIENTINVESTED.




No

Disclosure 55 of 63

i



Allegations:


CLIENT WAS UNDER THE NOTION THAT INVESTMENTS MADE INUNDISCLOSED OUTSIDE BUSINESS ACTIVITIES WERE APPROVED BY ANDDISCLOSED TO THE FIRM BY THE REP.

Product Type: Other: PRIVATE PLACEMENT



DAMAGES ARE NOT LISTED; UNCLEAR HOW MUCH CLIENT INVESTED.











Status:


Settlement Amount:







$174,000.00




$174,000.00



No


FINRA


Disclosure 56 of 63

i



Allegations:


CLIENT ALLEGES THAT JAMES GLOVER MISREPRESENTED ANINVESTMENT IN AN UNDISCLOSED OUTSIDE BUSINESS ACTIVITY.


$25,000.0059©2015 FINRA. All rights reserved. Report# 54128-11269 about JAMES R. GLOVER. Data current as of Wednesday, August 26, 2015.








Status:




$0.00

Firm Statement CLIENT ALLEGES THAT GLOVER SOLICITED CLIENT TO INVEST IN ANUNDISCLOSED OUTSIDE BUSINESS ACTIVITY.


Settled




No

Disclosure 57 of 63

i



Allegations:


CLIENT ALLEGES THE REP MISREPRESENTED NATURE OF INVESTMENT INREAL ESTATE PARTNERSHIP MADE AROUND 2007 AND SEEKS HERINVESTMENT TO BE RETURNED TO HER.



Date Complaint Received:





No








Status:




$0.00

Settled

Disclosure 58 of 63

i



Allegations:


CLIENT ALLEGES FORMER REGISTERED REP MISREPRESENTED ANINVESTMENT WHICH TURNED OUT TO BE AN INVESTMENT IN ANUNDISCLOSED BUSINESS ACTIVITY.





Status:




$0.00


Settled


CLIENTS ALLEGES SHE INVESTED $98,000 IN THIS INVESTMENT.




No







$0.00

Disclosure 59 of 63

i



Allegations:


CLIENT ALLEGES FORMER REGISTERED REP MISREPRESENTED ANINVESTMENT WHICH WAS AN INVESTMENT IN AN UNDISCLOSED OUTSIDEBUSINESS ACTIVITY.





Status:




$0.00


Settled


CLIENT ALLEGES SHE INVESTED $20,000 IN THIS INVESTMENT.




No

Disclosure 60 of 63

i








Allegations:


CLIENT ALLEGES GLOVER MAY HAVE COMMITTED FRAUD WHENINVESTING CLIENT'S FUNDS IN A REAL ESTATE VENTURE IN 2012.





Status:




$0.00


Settled


UNDETERMINED.




No

Disclosure 61 of 63

i



Allegations:


CLIENTS ALLEGE THAT GLOVER COMMITTED FRAUD IN THE HANDLING OFTHE CLIENT'S IRA ACCOUNT.

Product Type: Mutual Fund


Is this an oral complaint?63©2015 FINRA. All rights reserved. Report# 54128-11269 about JAMES R. GLOVER. Data current as of Wednesday, August 26, 2015.







Status:




$0.00


Settled




No

Disclosure 62 of 63

i



Allegations:


CLIENT ALLEGES GLOVER COERCED HER AND HER HUSBAND TOPURCHASE AN UNSUITABLE REAL ESTATE INVESTMENT. CLIENT ALSOALLEGES GLOVER'S ACTIONS HAVE COST HER LEGAL FEES THAT SHEWOULD NOT OTHERWISE HAVE INCURRED.





Status:





No






Status:




$0.00

Settled

Disclosure 63 of 63

i



Allegations:


COMPLAINT ALLEGES ALLOCATIONS IN A MANAGED ACCOUNT WEREUNSUITABLE RESULTING IN MARKET LOSSES, INAPPROPRIATEINVESTMENTS IN LLCS, INAPPROPRIATE RECOMMENDATION TO PROVIDELOAND TO CHARITABLE ORGANIZATION.

Product Type: Direct Investment-DPP & LP InterestsOther: MANAGED ACCOUNT




Status:




$0.00


Settled




No






Customer Dispute - Closed-No Action/Withdrawn/Dismissed/Denied

This type of disclosure event involves (1) a consumer-initiated, investment-related arbitration or civil suit containingallegations of sales practice violations against the individual broker that was dismissed, withdrawn, or denied; or (2) aconsumer-initiated, investment-related written complaint containing allegations that the broker engaged in sales practiceviolations resulting in compensatory damages of at least $5,000, forgery, theft, or misappropriation, or conversion offunds or securities, which was closed without action, withdrawn, or denied.

Disclosure 1 of 11



Allegations:


CLIENT ALLEGES REPRESENTATIVE MISREPRESENTED REAL ESTATEINVESTMENT





Status:


Settlement Amount:



Denied




No

Disclosure 2 of 11

i



Allegations:







Allegations: CLIENT ALLEGES THAT THE REPRESENTATIVE MISREPRESENTED REALESTATE INVESTMENT





Status:


Settlement Amount:



Denied




No

Disclosure 3 of 11

i



Allegations:

SIGNATOR INVESTORS INCE.

CLIENT ALLEGES REPRESENTATIVE MISREPRESENTED SALE OFUNAPPROVED OUTSIDE INVESTMENTS.




THE FIRM HAS DETERMINED THE ALLEGED DAMAGES ARE IN EXCESS OF$5,000.00










Status:


Settlement Amount: $0.00


$0.00

Firm Statement CURRENT DRP AMENDED TO REFLECT 1 COMPLAINANT.


Denied


No

Disclosure 4 of 11

i



Allegations:


MISREPRESENTATION OF POLICY SALE





Status:


Denied


NO DAMAGE AMOUNT ALLEGED




No






Status:


Settlement Amount:


Disclosure 5 of 11

i



Allegations:


CLIENT ALLEGES REP PLACED HIM IN AN OUTSIDE INVESTMENT.





Status:


Settlement Amount:



Denied




No

Disclosure 6 of 11

i



Allegations:







Allegations: CLIENT ALLEGES THAT REP PLACED HIM IN AN UNAPPROVEDINVESTMENT.





Status:


Settlement Amount:



Denied




No

Disclosure 7 of 11

i



Allegations:


CLIENT ALLEGES REP MISREPRESENTED INVESTMENT IN UNDISCLOSEDOUTSIDE BUSINESS ACTIVITY




DAMAGE AMOUNT UNDETERMINED










Status:


Settlement Amount:



Denied


No

Disclosure 8 of 11

i



Allegations:


CLIENT ALLEGES REPRESENTATIVE MISREPRESENTED AN INVESTMENTIN AN UNDISCLOSED OUTSIDE BUSINESS ACTIVITY





Status:


Settlement Amount:



Denied




No







Disclosure 9 of 11

i

Reporting Source: Broker


Allegations:

SIGNATOR INVESTORS INC

COMPLAINANT ALLEGES REP FAILED TO FOLLOW INSTUCTIONS ANDTOOK UNATHORIZED ACTIONS.

Product Type: Annuity(ies) - Variable




Status:


Settlement Amount:



Denied

Disclosure 10 of 11

i



Allegations:


THE CLIENT ALLEGES THAT HE WAS LED TO BELIEVE THEIR VARIABLELIFE POLICIES WERE PAID IN FULL. AUTOMATIC PREMIUM LOANSCAUSED A INCOME TAX LIABILITY AND A PENALTY SINCE THE POLICY IS AMEC.











Status:




$0.00

Firm Statement THE COMPANY DETERMINED THAT THERE WAS NO WRONGDOING ANDPROVIDED A LETTER OF EXPLANATION TO THE CLIENT.

Denied

Disclosure 11 of 11

i



Allegations:


THE CLIENT STATES THAT SHE REPLACED A VARIABLE INSURANCEPOLICY WITH A NEW POLICY, WHICH IS NOW IN A MEC STATUS BECAUSEOF OVER FUNDING. THE CLIENT BELIEVES THAT THIS IS THE FAULT OFTHE REPRESENTATIVE.

Product Type: Mutual Fund(s)




Status:




Firm Statement THE FIRM FOUND NO BASIS TO SUPPORT THE CLIENT'S ALLEGATIONS.AN EXPLANATION WAS PROVIDED TO THE CLIENT INFORMING HER WHATWHAT TRIGGERED THE MEC STATUS TO OCCUR.


Denied






Customer Dispute - Pending

This type of disclosure event involves (1) a pending consumer-initiated, investment-related arbitration or civil suit thatcontains allegations of sales practice violations against the broker; or (2) a pending, consumer-initiated, investment-related written complaint containing allegations that the broker engaged in, sales practice violations resulting incompensatory damages of at least $5,000, forgery, theft, or misappropriation, or conversion of funds or securities.

Disclosure 1 of 2



Allegations:


CLIENT ALLEGES REP MISREPRESENTED AN UNDISCLOSED ANDUNAPPROVED OUTSIDE BUSINESS INVESTMENT.




Complaint Pending? Yes

Settlement Amount:






No

Disclosure 2 of 2

i



Allegations:


CLIENT ALLEGES REPRESENTATIVE SOLD HER AN UNAPPROVED ANDUNSUITABLE REAL ESTATE INVESTMENT


$85,000.0074©2015 FINRA. All rights reserved. Report# 54128-11269 about JAMES R. GLOVER. Data current as of Wednesday, August 26, 2015.








Status:


Settlement Amount:



Arbitration Pending? Yes







No


FINRA







Employment Separation After Allegations

This type of disclosure event involves a situation where the broker voluntarily resigned, was discharged, or was permittedto resign after being accused of (1) violating investment-related statutes, regulations, rules or industry standards ofconduct; (2) fraud or the wrongful taking of property; or (3) failure to supervise in connection with investment-relatedstatutes, regulations, rules, or industry standards of conduct.

Disclosure 1 of 1


Employer Name: SIGNATOR INVESTORS, INC.

Termination Type: Permitted to Resign

Termination Date: 05/11/2012

Allegations: FAILURE TO DISCLOSE OUTSIDE BUSINESS ACTIVITIES, CONVERSION OFCLIENT FUNDS, AND OTHER POTENTIAL REPRESENTATIVE MISCONDUCT.

Product Type: Direct Investment-DPP & LP InterestsMutual FundReal Estate Security

Firm Statement THE FIRM CONTINUES TO CONDUCT THEIR INTERNAL INVESTIGATIONREGARDING MR. GLOVER'S ACTIVITIES.






End of Report

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JAMES ROBERT GLOVER - Peiffer Rosca Wolf Abdullah Carr · BrokerCheck Report JAMES ROBERT GLOVER Report #54128-11269, data current as of Wednesday, August 26, 2015. Section Title