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In March of 2017 client transferred a portion of his variable annuity to a third party money manager. Client alleges that he was not aware that it was a taxable event.
Damage Amount Requested
$11,000.00
Broker Comment
The representative denies all the client allegations in light of the signed client documents and 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.