CHARLES NELSON DINKLAGE is currently employed as a Broker and/or Investment Adviser at AXA ADVISORS, LLC located at 95 SAINT PAUL STREET, SUITE 300, BURLINGTON, VT, 05401.
CHARLES NELSON DINKLAGE has worked at AXA ADVISORS, LLC since December 04, 1995
Disclosure History
CHARLES NELSON DINKLAGE has 4 Disclosure Event(s).
Date: January 10, 2005 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT THE AGENT, OVER THE PAST 7 YEARS, TOLD HIM THAT THE MONEY EARNED ON A 1997 VARIABLE ANNUITY POLICY, AT 6% COMPOUNDED, WAS HIS TO SPEND. CLIENT STATED THAT HE FEELS BETRAYED AND THAT THE AGENT SOLD HIM A BILL OF GOODS; PROBABLY OUT OF A LACK OF KNOWLEDGE AT THE TIME. DAMAGES ARE UNSPECIFIED. Broker Comment: THE CUSTOMER WITHDREW HIS COMPLAINT STATING THAT HIS COMPLAINT WAS THE RESULT OF A MISUNDERSTANDING WHICH HAS BEEN CLARIFIED TO HIS SATISFACTION.
Date: May 30, 2003 Category: Regulatory Initiated By: GEORGIA INSURANCE DEPARTMENT Allegations: I FILED AN APPLICATION FOR A NON-RESIDENT INSURANCE LICENSE IN GEORGIA ON OR ABOUT MARCH 10, 2003. I ANSWERED YES TO THE QUESTION REGARDING DISCIPLINARY ACTION. UNDER GEORGIA LAW, AN APPLICANT FOR LICENSURE WITH A DISCIPLINARY ACTION CONSTITUTES GOUNDS FOR REFUSAL OF THE APPLICATION. HOWEVER, THE COMMISSINER HAS DECIDED TO ISSUE THE GEORGIA INSURANCE LICENSE ON A PROBATIONARY STATUS. THE PERIOD OF PROBATION IS TWELVE (12) MONTHS, COMMENCING ON THE DATE OF THE GEORGIA CONSENT ORDER WAS SIGNED BY THE COMMISSIONER. Resolution: Consent Sanctions: INSURANCE LICENSE WAS ISSUED ON A PROBATIONARY BASIS FOR A PERIOD OF TWELVE (12) MONTHS COMMENCING FROM THE DATE THE COMMISSIONER SIGNED THE CONSENT ORDER. Sanction Details: THE COMMISSINER HAS DECIDED TO ISSUE THE GEORGIA INSURANCE LICENSE ON A PROBATIONARY STATUS. THE PERIOD OF PROBATION IS TWELVE (12) MONTHS, COMMENCING ON THE DATE OF THE GEORGIA CONSENT ORDER WAS SIGNED BY THE COMMISSIONER. Broker Comment: I FILED AN APPLICATION FOR A NON-RESIDENT INSURANCE LICENSE IN GEORGIA ON OR ABOUT MARCH 10, 2003. I ANSWERED YES TO THE QUESTION REGARDING DISCIPLINARY ACTION. UNDER GEORGIA LAW, AN APPLICANT FOR LICENSURE WITH A DISCIPLINARY ACTION CONSTITUTES GOUNDS FOR REFUSAL OF THE APPLICATION. HOWEVER, THE COMMISSINER HAS DECIDED TO ISSUE THE GEORGIA INSURANCE LICENSE ON A PROBATIONARY STATUS. THE PERIOD OF PROBATION IS TWELVE (12) MONTHS, COMMENCING ON THE DATE OF THE GEORGIA CONSENT ORDER WAS SIGNED BY THE COMMISSIONER.
Date: January 30, 2002 Category: Regulatory
Date: August 08, 2001 Category: Customer Dispute Allegations: COUNSEL FOR OUR CUSTOMERS ALLEGES THAT I MADE RECOMMENDATIONS IN THE FINANCIAL PLAN I PREPARED FOR THE CUSTOMERS TO SELL INVESTMENTS ASSETS WHICH, WHEN FOLLOWED BY THEM, RESULTED IN THEIR INCURRING APPROXIMATELY $88,000 IN TAXES, INTEREST AND PENALTIES. THEY ARE SEEKING REIMBURSEMENT FOR THE DAMAGES SUFFERED. Damage Amount Requested: $88,000.00 Settlement Amount: $51,000.00 Broker Comment: ALTHOUGH THE FIRM NOTIFIED [ATTORNEY] THAT WE DID NOT BELIEVE WE WERE LIABLE FOR ANY TAXES THE CUSTOMERS INCURRED, THE MATTER WAS REFERRED TO MY PROFESSIONAL LIABILITY INSURANCE CARRIER. AFTER REVIEWING THE MATTER THEY DECIDED TO SETTLE THIS MATTER ON MY BEHALF FOR $51,000.00.
More Information
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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.
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