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Customer alleges that the recommendation to use funds from her variable annuity to purchase two Guaranteed Fixed Annuities in December 2017 was unsuitable. Customer requests the return of premiums she paid into her fixed annuities.
Damage Amount Requested
$125,000.00
12/12/2006
Customer Dispute
Denied
Allegations
CUSTOMER ALLEGES THAT IN JULY 2006, RR MADE A COPY OF A SIGNATURE PAGE SIGNED BY A FORMER TRUSTEE FROM A REQUEST THAT PREVIOUSLY SUBMITTED FOR A PLAN PARTICIPANT AND HE REUSED THE SIGNATURE PAGE ON ANOTHER TRANSFER/WITHDRAWAL FORM FOR A NEW PARTICIPANT WITHOUT THE KNOWLEDGE AND AUTHORIZATION OF THE FORMER TRUSTEE.
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.