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THE EXECUTOR ALLEGES THAT THE REGISTERED REPRESENTATIVE IMPROPERLY WITHDREW THE PROCEEDS OF A 401(K) RETIREMENT ACCOUNT. ALLEGATION ACTIVITY PERIOD FROM 12/31/2012 TO 02/07/2014.
Damage Amount Requested
$500,000.00
Broker Comment
THE CLAIM HAS BEEN DENIED BY THE FIRM AND IS BELIEVED TO BE WITHOUT MERIT. RR WAS THE NAMED BENEFICIARY OF THE DECEDENT 401K HELD AT HIS FORMER EMPLOYER. RR APPLIED FOR BENEFITS AND IT WAS DETERMINED BY THE PLAN ADMINISTRATOR RR WAS ELIGIBLE TO RECEIVE THE FUNDS.
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.
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.