Ben Bernat Stein - FINRA · BrokerCheck Report Ben Bernat Stein Section Title Report Summary Broker...

BrokerCheck Report

Ben Bernat Stein

Section Title

Report Summary

Broker Qualifications

Registration and Employment History

Disclosure Events

CRD# 1015794

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Page(s)

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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.

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Ben B. Stein

CRD# 1015794

Currently employed by and registered with thefollowing Firm(s):

KCD FINANCIAL, INC.3061 ALLIED STREETSUITE BGREEN BAY, WI 54304CRD# 127473Registered with this firm since: 02/18/2020

B

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 5

Criminal 1

Judgment/Lien 2


This broker is registered with:

1 Self-Regulatory Organization

2 U.S. states and territories

This broker has passed:

4 Principal/Supervisory Exams

3 General Industry/Product Exams

1 State Securities Law Exam

Registration History

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

CAPE SECURITIES INC.CRD# 7072MCDONOUGH, GA07/2017 - 03/2018

B

FREEDOM INVESTORS CORP.CRD# 23714BROOKFIELD, WI02/2016 - 07/2017

B

MERRIMAC CORPORATE SECURITIES, INC.CRD# 35463ALTAMONTE SPRINGS, FL11/2013 - 06/2014

B

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1�2020 FINRA. All rights reserved. Report about Ben B. Stein.


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Registrations

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

This individual is currently registered with 1 SRO and is licensed in 2 U.S. states and territories through his or her employer.

Employment 1 of 1Firm Name:

Main Office Address:

Firm CRD#:

KCD FINANCIAL, INC.

127473

3061 ALLIED STREETSUITE BGREEN BAY, WI 54304

SRO Category Status Date

B FINRA General Securities Principal APPROVED 02/18/2020

B FINRA General Securities Representative APPROVED 02/18/2020

BU.S. State/ Territory Category Status Date

B Illinois Agent APPROVED 05/19/2020

B Wisconsin Agent APPROVED 02/26/2020

Branch Office Locations

This individual does not have any registered Branch Office where the individual is located.





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Industry Exams this Broker has Passed

This individual has passed 4 principal/supervisory exams, 3 general industry/product exams, and 1 state securities law exam.

This section includes all securities industry exams that the broker has passed. Under limited circumstances, a broker may attain a registrationafter receiving an exam waiver based on exams the broker has passed and/or qualifying work experience. Any exam waivers that the broker hasreceived are not included below.

Exam Category Date

Principal/Supervisory Exams

General Securities Principal Examination 07/11/2016Series 24B

Financial and Operations Principal Examination 01/19/1985Series 27B

General Securities Sales Supervisor Examination (Options Module &General Module)

12/27/1984Series 8B

Registered Options Principal Examination 11/10/1983Series 4B

Exam Category Date

General Industry/Product Exams

Securities Industry Essentials Examination 03/13/2018SIEB

General Securities Representative Examination 11/13/2013Series 7B

National Commodity Futures Examination 11/27/1984Series 3B

Exam Category Date

State Securities Law Exams

Uniform Securities Agent State Law Examination 03/08/2016Series 63B

Additional information about the above exams or other exams FINRA administers to brokers and other securities professionals can be found atwww.finra.org/brokerqualifications/registeredrep/.





www.finra.org/brokerqualifications/registeredrep/



Professional Designations

This section details that the representative has reported 0 professional designation(s).

No information reported.







Registration History

Registration Dates Firm Name CRD# Branch Location

The broker previously was registered with the following firms:

B 07/2017 - 03/2018 CAPE SECURITIES INC. 7072 MCDONOUGH, GA

B 02/2016 - 07/2017 FREEDOM INVESTORS CORP. 23714 BROOKFIELD, WI

B 11/2013 - 06/2014 MERRIMAC CORPORATE SECURITIES, INC. 35463 ALTAMONTE SPRINGS, FL

B 05/2009 - 11/2009 SEABOARD SECURITIES, INC. 755 JUPITER, FL

B 04/2009 - 05/2009 SPARTAN SECURITIES GROUP, LTD. 104478 CLEARWATER, FL

B 08/1998 - 09/1998 EMPIRE FINANCIAL GROUP, INC. 28759 LONGWOOD, FL

B 05/1993 - 08/1996 STEIN, SHORE SECURITIES, INC. 31294 ORLANDO, FL

B 04/1995 - 05/1995 PROGRAM TRADING CORP. 36740 BOCA RATON, FL

B 07/1991 - 05/1993 MARSH, BLOCK & CO. INC. 11194 NEW YORK, NY

B 10/1990 - 11/1990 KESSLER ASHER CLEARING INC. 19493 CHICAGO, IL

B 09/1988 - 08/1989 LIT AMERICA, INC. 22381 CHICAGO, IL

B 08/1984 - 01/1988 WALSH, GREENWOOD & CO. 8068

B 04/1984 - 06/1984 RLR SECURITIES GROUP, INC. 7952

Employment History

Employment Employer Name Investment RelatedPosition Employer Location

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

Please note that the broker is required to provide this information only while registered with FINRA or a national securities exchangeand 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.

03/2015 - Present Freelance Tax Preparation Tax Preparer N Libertyville, IL, United States

07/2017 - 02/2018 CAPE SECURITIES, INC. REGISTEREDREPRESENTATIVE

Y MCDONOUGH, GA, UnitedStates







Employment History, continued

Employment Employer Name Investment RelatedPosition Employer Location

02/2016 - 07/2017 Freedom Investors Corporation RegisteredRepresentative

Y Brookfield, WI, United States

03/2015 - 01/2016 WyzAnt Tutoring Sevices Tutor N Chicago, IL, United States

06/2014 - 03/2015 Unemployed Unemployed N Maitland, FL, United States

11/2013 - 06/2014 Merrimac Corporate Securities RegisteredRepresentative

Y Altamonte Springs, FL,United States

01/2012 - 10/2013 Unemployed Unemployed N Maitland, FL, United States

12/2009 - 12/2011 BEN B STEIN OWNER DAY TRADER Y MAITLAND, FL, UnitedStates

Other Business Activities

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

(1) DBA name: BBS Financial Services, Inc.(2) RR works as an independent, freelance tax preparer for a small number of clients. This business is not investment related, is located at 212Millington Lane, Apt #1 Hartland, Wisconsin 53029. This OBA began 03/2015, takes up approximately 6hrs per month, all outside trading hours.






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 customer complaints and arbitrations,regulatory actions, employment terminations, bankruptcy filings, and criminal or civil judicial 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. o

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 same disclosure event, all versions of the event willappear in the BrokerCheck report. The different versions will be separated by a solid line with the reporting source labeled.

o4. 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 party charged with some alleged wrongdoing.§ A "settled" matter generally involves an agreement by the parties to resolve the matter. Please note that brokers and

brokerage firms may choose to settle customer disputes or regulatory matters for business or other reasons.§ A "resolved" matter usually involves no payment to the customer and no finding of wrongdoing on 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 informationregarding these events can be found in the subsequent pages of this report. You also may wish to contact the broker to obtain furtherinformation regarding these events.

Final On AppealPending

Regulatory Event 0 5 0

Criminal 0 1 0

Judgment/Lien 2 N/A N/A






Disclosure Event Details

When evaluating this information, please keep in mind that a discloure event may be pending or involve allegations that are contested and havenot been resolved or proven. The matter may, in the end, be withdrawn, dismissed, resolved in favor of the broker, or concluded through anegotiated settlement for certain business reasons (e.g., to maintain customer relationships or to limit the litigation costs associated with disputingthe allegations) with no admission or finding of wrongdoing.

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

Regulatory - Final

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

Disclosure 1 of 5

Reporting Source: Regulator

Regulatory Action InitiatedBy:

CHICAGO BOARD OPTIONS EXCHANGE

Sanction(s) Sought:

Other Sanction(s) Sought:

Date Initiated: 06/01/1982

Docket/Case Number: 82-0081

Employing firm when activityoccurred which led to theregulatory action:

Product Type:

Other Product Type(s):

Allegations:

Current Status: Final

Resolution: Decision & Order of Offer of Settlement

Resolution Date: 12/01/1982

Sanctions Ordered: CensureSuspension






Other Sanctions Ordered:

Sanction Details:

Regulator Statement LITIGATION, ACTIONS AND PROCEEDINGS BULLETIN, VOLUME 49, NO. 1,MARCH 31, 1983, PAGE 121. THE CBOE FOUND THAT STEIN VIOLATEDEXCHANGE RULES 4.1, 6.22, 6.73(A) 8.8, 6.51 AND 6.24. THERESPONDENT WAS SUSPENDED FROM MEMBERSHIP FOR TWO YEARS.DURINGTHE PERIOD 1/81 THROUGH 6/81, STEIN CAUSED TO BE EFFECTED IN HISCUSTOMER ERROR ACCOUNT AT FIRST OPTIONS OF CHICAGO INC.,AND/ORRIALCOR SECURITIES CORP., VARIOUS TRANSACTIONS IN HONEYWELLOPTION CONTRACTS FOR REASONS OTHER THAN OCCURENCE OF ABONA FIDEERROR IN HIS HANDLING AS FLOOR BROKER AND A MARKET-MAKER. HEALSO FAILED TO REPORT TO THE EXCHANGE'S PRICE REPORTINGFACILITIES SALES WHICH HE EFFECTED FOR HIS ERROR ACCOUNT WITHCUSTOMER BUY ORDERS IN HIS POSSESSION AND/OR SALES FROMCUSTOMERSELL ORDERS IN HIS POSSESSION OF HIS CUSTOMER ERROR ACCOUNT.STEIN FAILED TO TIME STAMP ORDERS WHICH HE RECEIVED FROMCUSTOMERS.

iReporting Source: Firm



Sanction(s) Sought:





Product Type:


Allegations:

Current Status:









Sanctions Ordered:


Sanction Details:

Firm Statement REASON FOR TERMINATION "OTHER" ON 3/9/84. MR. STEIN WASEMPLOYED BY THE FIRM ON JANUARY 1, 1984. MR. STEIN WASSUSPENDED FROM THE FLOOR OF THE CBOE FOR A TWO YEAR PERIOD IN1982. THE FACT OF THE SUSPENSION WAS DISCLOSED TO REGULATORYAUTHORITIES IN FILINGS. ALTHOUGH THE SUSPENSION WAS NOT ADISQUALIFYING CONSIDERATION FOR THE REGULATORY AUTHORITIES. ITWAS NOT DISCLOSED TO THE SAVING AND LOAN OFFICERSCONTROLLING THE BROKER/DEALER SUBSIDARY. UPON DISCOVERY OFTHE FACT OF THE PRIOR SUSPENSION, DISCUSSIONS WERE HELD WITHMR. STEIN WHICH RESULTED IN A POLICY DECISION TO RELEASE MR.STEIN ON AN AMICABLE BASIS. THIS RELEASE OCCURRED ON MARCH 9,1984. CONTACT [BROKER DEALER CONTACT PERSON] AT (305) 883-7154.STEIN WAS PERMITTED TO RESIGN ON MARCH 9, 1984. ALL QUESTIONSANSWERED "NO". AN OUT OF COURT SETTLEMENT BETWEEN THE FIRMAND BEN B. STEIN HAS BEEN REACHED, WHEREAS BEN B. STEINRESIGNED AND WAS NOT DISCHARGED, AS WAS PREVIOUSLY FILED ONTHE ORIGINAL U5 FORM FILED WITH THE NASD. ***** CONTACT: [BROKERDEALER CONTACT PERSON], (305) 935-5041.

CensureSuspension

iReporting Source: Broker



Sanction(s) Sought:










Product Type:


Allegations: VIOLATION OF EXCHANGE RULES 4.1 6.22 6.73(A)8-8 6.51 AND 6.24




Sanctions Ordered:


Sanction Details: SUSPENDED FROM EXCHANGE ACTIVITY FOR 2 YEARS &CONSUMED BUT NOT FROM ASSOCIATION WITH ANY EXCHANGE MEMBERORBROKER/DEALER

Broker Statement Not Provided

CensureSuspension

Disclosure 2 of 5

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Sanction(s) Sought:



Docket/Case Number: 790033


FIRST OPTIONS OF CHICAGO INC; RIALCOR/SHATKIN SECURITIES CORP.

Product Type:


Allegations:


Resolution:11�2020 FINRA. All rights reserved. Report about Ben B. Stein.





Resolution: Decision


Sanctions Ordered:


Sanction Details:

Regulator Statement LITIGATION, ACTIONS AND PROCEEDINGS BULLETIN, VOLUME 49, NO. 1,MARCH 31, 1983, PAGE 121. THE CBOE FOUND THAT STEIN VIOLATEDEXCHANGE RULES 4.1, 6.22, 6.73(A) 8.8, 6.51 AND 6.24. THERESPONDENT WAS SUSPENDED FROM MEMBERSHIP FOR TWO YEARS.DURINGTHE PERIOD 1/81 THROUGH 6/81, STEIN CAUSED TO BE EFFECTED IN HISCUSTOMER ERROR ACCOUNT AT FIRST OPTIONS OF CHICAGO INC.,AND/ORRIALCOR SECURITIES CORP., VARIOUS TRANSACTIONS IN HONEYWELLOPTION CONTRACTS FOR REASONS OTHER THAN OCCURENCE OF ABONA FIDEERROR IN HIS HANDLING AS FLOOR BROKER AND A MARKET-MAKER. HEALSO FAILED TO REPORT TO THE EXCHANGE'S PRICE REPORTINGFACILITIES SALES WHICH HE EFFECTED FOR HIS ERROR ACCOUNT WITHCUSTOMER BUY ORDERS IN HIS POSSESSION AND/OR SALES FROMCUSTOMERSELL ORDERS IN HIS POSSESSION OF HIS CUSTOMER ERROR ACCOUNT.STEIN FAILED TO TIME STAMP ORDERS WHICH HE RECEIVED FROMCUSTOMERS.

Suspension

iReporting Source: Firm



Sanction(s) Sought:






Product Type:







Allegations:




Sanctions Ordered:


Sanction Details:

Firm Statement REASON FOR TERMINATION "OTHER" ON 3/9/84. MR. STEIN WASEMPLOYED BY THE FIRM ON JANUARY 1, 1984. MR. STEIN WASSUSPENDED FROM THE FLOOR OF THE CBOE FOR A TWO YEAR PERIOD IN1982. THE FACT OF THE SUSPENSION WAS DISCLOSED TO REGULATORYAUTHORITIES IN FILINGS. ALTHOUGH THE SUSPENSION WAS NOT ADISQUALIFYING CONSIDERATION FOR THE REGULATORY AUTHORITIES. ITWAS NOT DISCLOSED TO THE SAVING AND LOAN OFFICERSCONTROLLING THE BROKER/DEALER SUBSIDARY. UPON DISCOVERY OFTHE FACT OF THE PRIOR SUSPENSION, DISCUSSIONS WERE HELD WITHMR. STEIN WHICH RESULTED IN A POLICY DECISION TO RELEASE MR.STEIN ON AN AMICABLE BASIS. THIS RELEASE OCCURRED ON MARCH 9,1984. CONTACT [BROKER DEALER CONTACT PERSON] AT (305) 883-7154.STEIN WAS PERMITTED TO RESIGN ON MARCH 9, 1984. ALL QUESTIONSANSWERED "NO". AN OUT OF COURT SETTLEMENT BETWEEN THE FIRMAND BEN B. STEIN HAS BEEN REACHED, WHEREAS BEN B. STEINRESIGNED AND WAS NOT DISCHARGED, AS WAS PREVIOUSLY FILED ONTHE ORIGINAL U5 FORM FILED WITH THE NASD. ***** CONTACT: [BROKERDEALER CONTACT PERSON], (305) 935-5041.

Suspension




Sanction(s) Sought:












Product Type:


Allegations: VIOLATION OF EXCHANGE RULES 4.1 6.22 6.73(A)8-8 6.51 AND 6.24




Sanctions Ordered:


Sanction Details: SUSPENDED FROM EXCHANGE ACTIVITY FOR 2 YEARS &CONSUMED BUT NOT FROM ASSOCIATION WITH ANY EXCHANGE MEMBERORBROKER/DEALER


Suspension

Disclosure 3 of 5

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CBOE

Sanction(s) Sought:





Product Type:


Allegations:14�2020 FINRA. All rights reserved. Report about Ben B. Stein.





Allegations: See summary




Sanctions Ordered:


Sanction Details: fined $3,500 and censured

Regulator Statement Stein initiated numerous opening optiontransactions that increased or established positions in hismarket-maker account while Stein was not present on the tradingfloor of the Exchange. Stein's transactions were proprietaryand not on behalf of public customers. As a result, Steinimproperly received specialist exempt credit for marginpurposes for those opening transactions. (CBOE Rules 4.2 and8.1 and FRB Reg X)

CensureMonetary/Fine $3,500.00




Sanction(s) Sought:





Product Type:


Allegations: INITIATED NUMBEROUS OPENING OPTIONTRANSACTIONS WHILE NOT PRESENT ON THE TRADING FLOOR OF THEEXCHANGE. STEINS TRANSACTIONS WERE PROPRIETARY AND NOT ONBEHALF OF PUBLIC CUSTOMERS. AS A RESULT, STEIN RELEIVEDSPECIALIST EXEMPT CREDIT FOR MARGIN PURPOSES.






INITIATED NUMBEROUS OPENING OPTIONTRANSACTIONS WHILE NOT PRESENT ON THE TRADING FLOOR OF THEEXCHANGE. STEINS TRANSACTIONS WERE PROPRIETARY AND NOT ONBEHALF OF PUBLIC CUSTOMERS. AS A RESULT, STEIN RELEIVEDSPECIALIST EXEMPT CREDIT FOR MARGIN PURPOSES.




Sanctions Ordered:


Sanction Details: FINED 3,500 AND CENSURED.



Disclosure 4 of 5

i

Reporting Source: Broker



Sanction(s) Sought:



Docket/Case Number: 890155A


PARKER STEIN, INC.

Product Type:


Allegations: ALLEGED THAT STEIN A NOMINEE OF PARKER STEIN,INC. IMPROPERLY UTILIZED BOTH SPACE ON THE FLOOR OF THE CBOEWAS A MEMBER, PARKER STEIN, INC WAS NOT.




Sanctions Ordered:









Sanction Details: FINED $5000 AND CENSURED, PARKER STEIN, INCBECAME A MEMBER AND STINE CONTINUED FLOOR OPERATIONS ANDTRADING PAYMENTS WERE MADE TO CBOE FOR BOOTH SPACE. CBOEADVISED NASD THAT THIS MATTER DID NOT CONSTITUTE A MATERIALVIOLATION AND HAD NO IMPACT ON STEINS GRANDFATHERED STATUSFORCONTINUING EDUCATION.


Disclosure 5 of 5

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Sanction(s) Sought:





Product Type:


Allegations: FIGHTING ON TRADING FLOOR




Sanctions Ordered:


Sanction Details: PAID $1000 FINE


Monetary/Fine $1,000.00






Criminal - Final Disposition

This type of disclosure event involves a criminal charge against the broker that has resulted in a conviction, acquittal, dismissal, or plea. Thecriminal matter may pertain to any felony or certain misdemeanor offenses, including bribery, perjury, forgery, counterfeiting, extortion, fraud, andwrongful taking of property.

Disclosure 1 of 1


Court Details: STATE OF FLORIDA, ORANGE COUNTY COURTHOUSE, 65 EAST CENTRALBLVD., ORLANDO, FL 32801 - CASE NO. CR96-11907

Charge Date: 10/18/1996

Charge Details: STOPING PAYMENT WITH THE INTENT TO DEFRAUD. 5 COUNTS. FELONYCHARGES. PLEAD NOT GUILTY. NOT INVESTMENT RELATED.

Felony? Yes


Status Date: 01/24/1997

Disposition Details: ALL COUNTS DISCHARGED AND DISMISSED WITH PREJUDICE.






Judgment / Lien

This type of disclosure event involves an unsatisfied and outstanding judgments or liens against the broker.

Disclosure 1 of 2


Judgment/Lien Amount: $1,343.35

Judgment/Lien Holder: Capital One Bank, NA

Judgment/Lien Type: Civil

Date Filed with Court: 06/02/2009

Judgment/Lien Outstanding? Yes

Broker Statement While the principal judgement amount is $1343.35, there is $205 in court costs,$299.67 in interest, and $500 in attorney fees (accruing interest at 8% perannum)for an original total amount of $2348.02.

Type of Court: State Court

Name of Court: County Court for Orange County

Location of Court: Orange County, Florida, United States

Docket/Case #: 09-SC-3931

Date Individual Learned: 06/02/2009

Disclosure 2 of 2

i


Judgment/Lien Amount: $1,585.63

Judgment/Lien Holder: Capital One Bank, NA

Judgment/Lien Type: Civil

Date Filed with Court: 07/07/2009

Judgment/Lien Outstanding?

Type of Court: State Court

Name of Court: County Court for Orange County

Location of Court: Orange County, Florida, United States

Docket/Case #: 09-SC-7036

Date Individual Learned: 07/07/2009






Judgment/Lien Outstanding? Yes

Broker Statement While the principal judgement amount is $1585.63, there are $205 in court costs,$355.88 in pre-judgement interest, $400 in attorney fees, and a post-judgementinterest rate at 8% per annum. At the time the judgement was order, the totalamount due was $2546.51.






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