Client alleges that he is due interest in the amount of $5,163.67 due to delay in establishment of Fixed Annuity investment. Client first met with Financial Consultant in January 2017, documentation signed in March 2017, however contract was not established until April 28, 2017.

$5,163.67

$2,828.28

My involvement with this client was an attempt to resolve a processing issue to his satisfaction by helping to expedite a transfer request. I was not the client's direct advisor, did not participate in the firm's decision to settle the client's dispute, nor did I contribute to the settlement amount. I was merely named in the client's request as I was his last contact at the firm.