BRIAN KEITH ADAMS

BRIAN KEITH ADAMS is currently employed as a Broker and/or Investment Adviser at THE LEADERS GROUP, INC. located at 26 WEST DRY CREEK CIRCLE, SUITE 800, LITTLETON, CO, 80120.

BRIAN KEITH ADAMS has worked at THE LEADERS GROUP, INC. since January 22, 2013

Disclosure History

BRIAN KEITH ADAMS has 2 Disclosure Event(s).

Date: November 02, 1999
Category: Customer Dispute
Allegations: THAT IN 10/95 REPRESENTATIVE LISCENSED WITH TRAVELERS UNDER MY GENERAL AGENCY ENACT 1035 ON AN ANNUITY PREVIOUSLY SOLD BY HIM THAT CONTAINED RETIREMENT PLAN ASSETS. THEREBY CAUSING HIM TO PAY SURRENDER CHARGES AND HIGHER FEES THAN A NON-ANNUITY PRODUCT. I NEVER MET OR SPOKE WITH THE CLIENT AT ANY PERIOD DURING THIS TRANSACTION.
Damage Amount Requested: $28,000.00
Settlement Amount: $3,000.00

Date: March 02, 1998
Category: Customer Dispute
Allegations: ALLEGED I DID NOT ADVISE HER REGARDINGDISABILITY COVERAGE OR LIFE PREMIUM WAIVERS. QUESTIONEDSUITABILITY OF LIMITED PARTNERSHIP. CLIENT REQUESTED FULLREFUND OF ALL PREMIUMS AND SETTLEMENT IN THE AMOUNT OF $50,000.
Damage Amount Requested: $50,000.00
Broker Comment: NO EVIDENCE WAS PRESENTED TO SUPPORT THECLIENT'S ALLEGATIONS. THE ALLEGATIONS WERE DENIED BY LETTERDIRECTLY TO THE CLIENT BASED UPON CONTRACTUAL EVIDENCE AND THEAGENT'S TESTIMONY. NO SUBSEQUENT CORRESPONDENCE HAS BEENRECEIVED.A FULL RESPONSE TO CLIENT'S COMPLAINT WASFORWARDED TO NEW ENGLAND LIFE. IT DETAILED ALL CONCERNS ANDREFUSED ALL CLAIMS. IT REFLECTED THAT THE CLIENT MADE MATERIALMISSTATEMENTS IN HER ALLEGATIONS. IT FURTHER REFLECTED THATSHE QUALIFIED FOR NO TYPE OF DISABILITY AND/OR WAIVER OFPREMIUM BENEFITS. AND THAT THE REALESTATE LIMITED PARTNERSHIPWAS A FRACTIONAL PORTION OF AN OVERALL ASSET ALLOCATION PLANAMOUNTING TO LESS THAN 7% OF HER OVERALL PORTFOLIO ($10,000).

More Information

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