ALAN N SCHIFF is currently employed as a Broker and/or Investment Adviser at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC located at C/O PRUDENTIAL FINANCIAL, 280 TRUMBULL STREET, HO6-F, HARTFORD, CT, 06103.
ALAN N SCHIFF has worked at PRUDENTIAL INVESTMENT MANAGEMENT SERVICES LLC since October 02, 2012
Disclosure History
ALAN N SCHIFF has 1 Disclosure Event(s).
Date: April 22, 2010 Category: Customer Dispute Allegations: CLIENT ALLEGED MISREPRESENTATION OR MISLEADING INFORMATION AND UNSUITABLE RECOMMENDATIONS REGARDING DISTRIBUTION OF 401(K) FUNDS. Damage Amount Requested: $21,162.13 Broker Comment: THIS MATTER IS BEING REPORTED CONSISTENT WITH FINRA RULES PERTAINING TO THE REPORTING OF CERTAIN WRITTEN CUSTOMER COMPLAINTS. THE COMPANY BY THIS FILING MAKES NO ALLEGATIONS REGARDING THE ACTIONS OF THE REPRESENTATIVE. THE REPRESENTATIVE PROVIDED INFORMATION WITH REGARD TO DISTRIBUTION OPTIONS AVAILABLE TO CLIENT. THE FIRM CLOSED THIS COMPLAINT WITH NO FINDINGS.
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