BARBARA YVONNE KLEIN is currently employed as a Broker and/or Investment Adviser at BROKER DEALER FINANCIAL SERVICES CORP. located at LIGHTHOUSE ADVISORS LLC, 8001 ARISTA PLACE, SUITE 400, BROOMFIELD, CO, 80021.
BARBARA YVONNE KLEIN has worked at BROKER DEALER FINANCIAL SERVICES CORP. since October 21, 2009
Disclosure History
BARBARA YVONNE KLEIN has 1 Disclosure Event(s).
Date: April 15, 2003 Category: Customer Dispute Allegations: CLIENT STATED THAT HE WAS TOLD THAT THE VALUE OF HIS DEATH BENEFIT WOULD DECREASE DOLLAR FOR DOLLAR IF HE TOOK A PARTIAL WITHDRAWAL. THE ACTUAL IMPACT WAS MUCH GREATER AND THE CUSTOMER ASKED FOR REIMBURSEMENT OF THE DIFFERENCE. Damage Amount Requested: $36,989.15 Settlement Amount: $36,989.15 Broker Comment: ALTHOUGH I INCORRECTLY EXPLAINED THE ADJUSTED DEATH BENEFIT TO THE CUSTOMER, THE DEATH BENEFIT IS EXPLAINED IN BOTH THE CONTRACT AND THE PROSPECTUS AND AS A RESULT OF MY MISSTATEMENT ATLAS AND POLICY ISSUER OFFERED AND MADE THE SETTLEMENT WITH THE CUSTOMER.
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