CHARLES LEWIS COOPER is currently employed as a Broker and/or Investment Adviser at SECURITIES AMERICA, INC. located at 6500 29TH ST STE 210, SUITE 210, GREELEY, CO, 80634.
CHARLES LEWIS COOPER has worked at SECURITIES AMERICA, INC. since November 14, 2014
Disclosure History
CHARLES LEWIS COOPER has 2 Disclosure Event(s).
Date: March 17, 2017 Category: Customer Dispute Allegations: Client alleged that registered representative informed her there would not be any fees associated with a redemption from her annuity contract. She was assessed CDSC on withdrawals from her annuity contract. Damage Amount Requested: $8,790.52
Date: October 17, 2007 Category: Customer Dispute Allegations: THE INSURED ON A LIFE INSURANCE CONTRACT FOR THE TRUST ALLEGED THAT THE TRUST INCURRED $10,000 IN UNNECESSARY FEES RELATED TO A CHANGE OF INSURANCE CONTRACTS APPLIED FOR ON APRIL 18, 2002. Damage Amount Requested: $10,000.00 Broker Comment: THE LIFE INSURANCE COMPANY AGREED TO RESCIND THE LIFE INSURANCE CONTRACT AND IN CONSIDERATION RETURN ALL PREMIUM PAYMENTS MADE INTO THE CONTRACT TO THE TRUST. THIS AGREEMENT WAS BETWEEN THE TRUST AS OWNER, AND THE LIFE INSURANCE COMPANY. THE LIFE INSURANCE COMPANY REFUNDED $327,401.14 IN INSURANCE PREMIUMS PAID. THE INSURANCE COMPANY THEREFORE RETURNED ONLY THE AMOUNT THE TRUST PAID INTO THE CONTRACT AND DID NOT PAY OR COMPENSATE FOR ANY ADDITIONAL FEES AS CLAIMED IN THE COMPLAINT.
More Information
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 CHARLES LEWIS COOPER, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.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 Removal
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.