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Customer alleges that she proceeded with the purchase of 2 variable annuities in May 2016 unaware of the contractual surrender charges. Customer requests the opportunity to surrender the accounts without surrender charges.
Damage Amount Requested
$5,279.85
Settlement Amount
$5,295.00
Broker Comment
While the Firm did not substantiate the allegations against the RR, in the interest of customer relations, the customer was offered the opportunity to surrender the annuities without surrender charges.
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.