ALAN MARSHALL SILVERMAN is currently employed as a Broker and/or Investment Adviser at PRUCO SECURITIES, LLC. located at 79 BRIDGE STREET, 2nd Floor, BEVERLY, MA, 01915.
ALAN MARSHALL SILVERMAN has worked at PRUCO SECURITIES, LLC. since February 16, 1982
Disclosure History
ALAN MARSHALL SILVERMAN has 4 Disclosure Event(s).
Date: August 19, 2013 Category: Customer Dispute Allegations: THE CUSTOMER FILED A SMALL CLAIMS COMPLAINT AGAINST YOU FOR CONVERSION, NEGLIGENCE AND MISHANDLING, AND FOR WRONGFULLY SENDING TO MASSACHUSETTS UNCLAIMED OR ABANDONED PROPERTY. THIS IS IN REGARDS TO A CUSTODIAL ACCOUNT OWNED BY THE CUSTOMER FOR HER NIECE ON OR ABOUT NOVEMBER 2012. 9/25/13 - THIS FILING IS BEING MADE TO SATISFY THE 4530 REPORTING REQUIREMENT FOR THE ORIGINAL WRITTEN COMPLAINT. Damage Amount Requested: $4,683.00 Settlement Amount: $3,000.00
Date: July 06, 2010 Category: Customer Dispute Allegations: REGARDING THE 1985 PURCHASE OF A VARIABLE APPRECIABLE LIFE INSURANCE POLICY, THE CLIENT ALLEGED MISREPRESENTATION CONCERNING THE DURATION OF PREMIUM PAYMENTS. Broker Comment: THIS CONCERNS A POLICY INCLUDED IN THE CLASS OF POLICIES THAT WAS THE SUBJECT OF A NATIONWIDE CLASS ACTION SETTLEMENT IN WHICH PRUDENTIAL, ITS INSURANCE AFFILIATES AND PERSONNEL WERE RELEASED CONCERNING LIFE INSURANCE SALES PRACTICES. THE CLASS ACTION SETTLEMENT REMEDIATION PROCESSES FOR ADDRESSING CLAIMS FOR POLICIES INCLUDED IN THE CLASS HAVE CONCLUDED. BECAUSE THE COMPANY AND THE REPRESENTATIVE(S) WERE RELEASED FROM ANY FURTHER LIABILITY OR OBLIGATION WITH RESPECT TO CLAIMS LIKE THOSE MADE BY THE POLICYHOLDER, THE COMPANY IS NOT REVIEWING THIS INQUIRY AND IS MAKING NO FINDING OR FURTHER FILING REGARDING THIS INQUIRY.
Date: April 04, 2006 Category: Customer Dispute Allegations: REGARDING THE 2003 PURCHASE OF A STRATEGIC PARTNER ANNUITY POLICY, THE CLIENT ALLEGED MISREPRESENTATION AT THE POINT OF SALE. THIS MATTER IS BEING REPORTED BECAUSE THE COMPLAINANT HAS ALLEGED NO DOLLAR AMOUNT AND THE FIRM HAS NOT MADE A GOOD FAITH DETERMINATION THAT THE DAMAGES FROM THE ALLEGED CONDUCT WOULD BE LESS THAN $5,000. Settlement Amount: $32,054.53 Broker Comment: THIS MATTER IS BEING REPORTED CONSISTENT WITH NASDR RULES PERTAINING TO THE REPORTING OF CERTAIN WRITTEN CUSTOMER COMPLAINTS AND SETTLEMENT OF $10,000 OR MORE. THE COMPANY BY THIS FILING MAKES NO ALLEGATIONS REGARDING THE ACTIONS OF THE REPRESENTATIVE.9/25/13 - THIS FILING IS BEING MADE TO SATISFY THE 4530 REPORTING REQUIREMENT FOR THE ORIGINAL WRITTEN COMPLAINT.
Date: November 03, 2001 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THAT HIS CONTRAT WAS MISREPRESENTED TO HIM. DAMAGES UNSPECIFIED, AND THE COMPANY CANNOT MAKE A GOOD FAITH DETERMINATION. Broker Comment: THE COMPANY DENIED THE CLAIM. THIS MATTER IS BEING REPORTED CONSISTENT WITH NASDR RULES PERTAININGTO THE REPORTING OF CERTAIN WRITTEN CUSTOMER COMPLAINTS. THE COMPANY BY THIS FILING MAKES NO ALLEGATIONS REGARDING THE ACTIONS OF THE REPRESENTATIVE.
More Information
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A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
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