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
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.
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for BETH ANN HEARN, click here.
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.
How to choose a broker or investment adviser. Learn More