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Customer alleged that the recommendation to purchase a VA in June 2016 was not in her best interest. Customer did not make a claim for damages.
Settlement Amount
$15,258.03
Broker Comment
The firm found no evidence to support the customer's allegations that the RR misrepresented the contract she purchased. However, the firm in the interest of good customer relations, offered to waive any 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.