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ALLEGES THAT HE WASN'T AWARE THAT SURRENDER CHARGES WOULD BE ASSESSED WHEN SURRENDERING TWO VARAIBLE LIFE INSURANCE POLICIES IN 2010 AND THAT THESE CHANGES WOULD HAVE BEEN WAIVED IF HE MOVE THE MONEY INTO A NEW INTERNAL PRODUCT.
Damage Amount Requested
$15,000.00
Broker Comment
THE COMPLAINT WAS NOT INTENDED TO BE AGAINST THE REGISTERED REPRESENTATIVE. THE TRANSACTIONS IN QUESTION WERE DONE AT THE PROPOSAL AND GUIDANCE OF THE CLIENTS' ATTORNEY AND FEE-BASED FINANCIAL PLANNER.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
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Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.