BETH ANN HEARN is currently employed as a Broker and/or Investment Adviser at LINCOLN FINANCIAL ADVISORS CORPORATION located at 1330 POST OAK BOULEVARD, SUITE 2800, HOUSTON, TX, 77056.
BETH ANN HEARN has worked at LINCOLN FINANCIAL ADVISORS CORPORATION since November 21, 2017
Disclosure History
BETH ANN HEARN has 2 Disclosure Event(s).
Date: May 20, 2010 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT MANAGED ALLOCATION PROTFOLIO WAS NOT SUITABLY INVESTED FROM NOVEMBER 11, 2007 - NOVEMBER 2008. Settlement Amount: $27,500.00 Broker Comment: DATE ARBITRATION CLAIM FILED IS UNCLEAR. UNIFORM SUBMISSION AGREEMENT IS DATED 4/10/2010. BOTH RR AND FIRM DENY THAT THEY ACTED IN A MANNER INCONSISTENT WITH CLIENT'S INTEREST. CLIENT WENT AGAINST ADVICE OF RR DURING HISTORIC MARKET DOWNTURM OF 2008 AND LIQUIDATED INVESTMENTS THAT HAVE SUBSEQUENTLY SUBSTANTIALLY RECOVERED IN VALUE. RR WAS NOT NAMED IN THE CLAIM AND DISAGREES WITH THE NECESSITY OF ANY SETTLEMENT.
Date: February 10, 2003 Category: Customer Dispute Allegations: COMPLAINT ALLEGES RECOMMENDATION TO EXCHANGE BETWEEN MUTAL FUNDS WAS UNSUITABLE. Damage Amount Requested: $77,266.00 Settlement Amount: $64,332.67 Broker Comment: COMPLAINT ORIGINATED AFTER THE END OF THE PROLONGED MARKET DOWNTURN OF 2000 - 2002 BY THE CLIENT'S SON. THE SON BELIEVED MUTUAL FUNDS WERE INAPPROPRIATE BASED UPON "ASSET CLASSS" NOT ON ACTUAL VALUES AND/OR SUBSEQUENT PERFORMANCE OF THE FUNDS. RR DISAGREED WITH THE AMOUNTS AND ASSERTS THAT CLIENT POSITION WOULD HAVE BEEN IMPROVED HAD EXCHANGES NOT BEEN "REVERSED". COMPLAINTANT REMAINS A CLIENT OF THE FIRM.
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