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TWISTING OF POLICIES CONCERNING JOHN HANCOCK ROLLOVER POLICIES; ALLEGATIONS OF VIOLATIONS OF THE DTPA INVOLVED IN THE EARLY CASHING OF AN $80,000 ANNUTIY TRIGGERING PENALTIES, SURRENDER CHARGES AND TAXES.
Damage Amount Requested
$400,000.00
Settlement Amount
$225,000.00
Broker Comment
I NEVER RECEIVE ANY PRIOR CUSTOMER COMPLAINT FROM THIS CUSTOMER.
5/3/2016 DRP was updated in a timely manner 10/4/2010, FIRM did not see the oversight in the civil area of the DRP.
7/17/2009- CIVIL LIGATION WILL REMAIN PENDING UNTIL OUTCOME OF ARBITRATION.
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
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.