Christopher Riley Avey is currently employed as a Broker and/or Investment Adviser at PLANMEMBER SECURITIES CORPORATION located at 610 N. MISSION, SUITE 120, WENATCHEE, WA, 98801.
Christopher Riley Avey has worked at PLANMEMBER SECURITIES CORPORATION since May 16, 2018
Christopher Riley Avey has 5 Disclosure Event(s).
Date: February 25, 2018 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: May 16, 2017 Category: Judgment / Lien Judgment/Lien Amount: $37,487.44 Judgment/Lien Type: Tax Broker Comment: I CURRENTLY HAVE A PAYMENT AGREEMENT SET UP TO PAY $650 PER MONTH UNTIL 06/25/2018 WHERE IT WILL INCREASE TO $875 A MONTH. THIS IS A DUPLICATE OF DOCKET NUMBER 2457373The tax lien was an agreement that I made throughmy divorce settlement. I agreed to pay all of the outstanding debt which included an IRS tax lien.
Date: January 07, 2011 Category: Customer Dispute Allegations: CUSTOMER CLAIMS SHORT TERM TRADING FEE WAS NOT DISCLOSED TO HIM BY REP. Damage Amount Requested: $5,000.00 Settlement Amount: $5,000.00
Date: November 12, 2004 Category: Customer Dispute Allegations: ANNE TOOK A 401(K) LOAN TO PAY OFF DEBT AND SHE DID NOT RE-PAY IT IN TIME. IT WAS SUPPOSE TO COME OUT OF STOCK OPTION SALE PROCEEDS. Damage Amount Requested: $69,000.00 Broker Comment: CLIENT REJECTED SETTLEMENT OFFER.
Date: May 26, 2004 Category: Customer Dispute Allegations: MARILYN BOUGHT A VARIABLE ANNUITY AND I FORGOT TO SETUP THE SYSTEMATIC LIQUIDATION AT THE TIME WE SET THE CONTRACT UP. SHE THEN CLAIMED THAT SHE DID NOT KNOW THERE WERE EXPENSES INVOVLED. THIS IS UNTRUE BECAUSE MARILYN HAD BEEN TAKEN ADVATAGE OF BY ANOTHER BROKER AND I WAS EXTREMELY CAREFUL IN PUTING HER IN THE APPROPRIATE VEHICLE. MY COMPLIANCE DEPARTMENT REVIEWED THE COMPLAINT AND SALES MATERIAL AND REJECTED THE COMPLAINT SINCE ALL WAS IN ORDER. IT IS MY UNDERSTANDING THAT AT THIS POINT MARILYN IS TAKING THE SYSTEMATIC WITHDRAWLS AS ORIGINALLY PLANNED. IF SHE WERE TO COME IN TODAY WITH THE SAME ISSUES, I WOULD PUT HER IN THE EXACT SAME PORTFOLIO. Damage Amount Requested: $14,660.70
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