CAROLINE MARIE GIRGIS

CAROLINE MARIE GIRGIS is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 6550 ROCK SPRING DRIVE, SUITE 400, BETHESDA, MD, 20817.

CAROLINE MARIE GIRGIS has worked at CETERA ADVISOR NETWORKS LLC since November 01, 2017

Disclosure History

CAROLINE MARIE GIRGIS has 1 Disclosure Event(s).

Date: January 22, 2001
Category: Customer Dispute
Allegations: THE CLIENT ALLEGED THAT I DID NOT DISCLOSE SURRENDER CHARGES AND PENALTIES ON AN ANNUITY ACCOUNT AND CLASS B MUTUAL FUND ACCOUNTS. IN ADDITION, SHE ALLEGED THAT THE INVESTMENTS ARE NOT SUITABLE AS HER GOALS ARE NOT BEING MET. THE CLIENT HAS REQUESTED THAT WE SURRENDER ALL ACCOUNTS AND WAIVE SURRENDER CHARGES.
Damage Amount Requested: $8,168.00
Broker Comment: THE REVIEW FOUND THAT THE CLIENT RECEIVED FULL AND FAIR DISCLOSURE OF THE SURRENDER CHARGES ASSOCIATED WITH THE ANNUITY AND THE CONTINGENT DEFERRED SALES CHARGES ASSOCIATED WITH THE "B" SHARE MUTUAL FUNDS. IN ADDITION, THE INVESTMENTS WERE FOUND TO BE SUITABLE BASED ON THE CLIENT'S GOALS AND OBJECTIVES AT THE TIME OF PURCHASE.

More Information

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