ANTON ALFRED MONTES is currently employed as a Broker and/or Investment Adviser at NYLIFE SECURITIES LLC located at 33746 WINDHAM DRIVE, DANA POINT, CA, 92629.
ANTON ALFRED MONTES has worked at NYLIFE SECURITIES LLC since March 28, 1989
Disclosure History
ANTON ALFRED MONTES has 2 Disclosure Event(s).
Date: June 29, 2015 Category: Financial Type: Bankruptcy
Date: September 05, 2002 Category: Customer Dispute Allegations: WITH REGARD TO A VARIABLE ANNUITY PURCHASED IN FEBRUARY 1999, THE CUSTOMER ALLEGES I USED THE PROCEEDS SHE RECEIVED FROM HER HUSBAND'S LIFE INSURANCE BENEFIT TO FUND THE ANNUITY WITHOUT THE CUSTOMER'S CONSENT. THE CUSTOMER ALSO ALLEGES THAT SHE "NEVER RECEIVED A CONTRACT FOR THAT ANNUITY" AND REQUESTS A TRANSFER OF HER ANNUITY TO ANOTHER COMPANY. Damage Amount Requested: $127,126.46 Broker Comment: UPON REVIEW OF POLICY RECORDS AND DATA, NEW YORK LIFE DID NOT FIND SUFFICIENT EVIDENCE TO SUPPORT THE CUSTOMER'S CLAIMS. NO OFFER OF COMPENSATION HAS BEEN MADE TO THE CUSTOMER.
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