CHESTER L PEACH

CHESTER L PEACH is currently employed as a Broker and/or Investment Adviser at PARK AVENUE SECURITIES LLC located at 3585 MAPLE STREET, SUITE 140, VENTURA, CA, 93003.

CHESTER L PEACH has worked at PARK AVENUE SECURITIES LLC since June 04, 2004

Disclosure History

CHESTER L PEACH has 2 Disclosure Event(s).

Date: March 05, 2009
Category: Customer Dispute
Allegations: REGARDING THE 1989 PURCHASE OF A VARIABLE APPRECIABLE LIFE INSURANCE POLICY, THE CLIENT ALLEGED MISREPRESENTATION CONCERNING THE DURATION OF PREMIUM PAYMENTS.
Broker Comment: I WAS NEVER NOTIFIED OF THIS COMPLAINT.

Date: April 09, 2004
Category: Employment Separation After Allegations
Firm Name: PRUCO SECURITIES, LLC
Termination Type: Voluntary Resignation
Allegations: AGENT PEACH WROTE FINANCIAL PLANS FOR FOUR CLIENTS TO ENABLE HIM TO QUALIFY FOR FINANCIAL PLANNER STATUS IN THE COMPANY AND THEN, FOLLOWING SUCH QUALIFICATION, REFUNDED SUCH PLANS TO THE FOUR CLIENTS. ALLEGATION CONFIRMED.
Broker Comment: CLIENT FEES REFUNDED BY PRUCO SECURITIES

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.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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