DALE HARDY WESTERMARK is currently employed as a Broker and/or Investment Adviser at FIRST FINANCIAL EQUITY CORPORATION located at 550 N. 31ST STREET, SUITE 500, BILLINGS, MT, 59101.
DALE HARDY WESTERMARK has worked at FIRST FINANCIAL EQUITY CORPORATION since January 20, 2010
Disclosure History
DALE HARDY WESTERMARK has 2 Disclosure Event(s).
Date: August 17, 2010 Category: Customer Dispute Allegations: INVESTMENT STRATEGY AT RETIRMENT DID NOT MATCH THE AGE OR DESIRE TO MEET INCOME NEEDS. IN A LETTER DATED AUGUST 13, 2010, CLIENT STATED ORIGINAL GOAL IN 2002 WAS TO HAVE $1,800 MONTHLY INCOME FOR 15-18 YEARS. CLIENT REDEEMED MORE THAN TWICE THIS AMOUNT IN THE FIRST TWO YEARS.
Date: October 17, 2008 Category: Customer Dispute Allegations: CLIENT STATES THE UIT SHE PURCHASED IN APRIL 2008 WERE UNSUITABLE. Damage Amount Requested: $146,000.00 Broker Comment: AFTER INVESTIGATION, CLIENT WAS PROVIDED WITH ALL DISCLOSURES AND INFORMATION TO MAKE INFORMED DECISION.
More Information
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