DANIEL STEVENSON SHIRLEY is currently employed as a Broker and/or Investment Adviser at CETERA INVESTMENT SERVICES LLC located at 1020 HIGHLAND COLONY PKWY, RIDGELAND, MS, 39157.
DANIEL STEVENSON SHIRLEY has worked at CETERA INVESTMENT SERVICES LLC since July 24, 2017
Disclosure History
DANIEL STEVENSON SHIRLEY has 3 Disclosure Event(s).
Date: June 12, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT MISREPRESENTATION REGARDING THE AMOUNT OF PREMIUM PAYMENTS NEEDED TO MAINTAIN A 1992 ISSUE VARIABLE LIFE INSURANCE POLICY. DAMAGES ARE UNSPECIFIED.
Date: December 11, 2002 Category: Customer Dispute Allegations: PLAINTIFF ALLEGES THAT IN ORDER TO SELL VARIOUS TYPES OF LIFE INSURANCE POLICIES, A SCHEME WAS USED WHICH INCLUDED MISREPRESENTATIONS CONCERNING PREMIUM PAYMENTS TO BE MADE ON POLICIES, AS WELL AS OMISSION AND CONCEALMENT OF MATERIAL FACTS. CLAIM IS THAT ACTIONS CONSTITUED FRAUD, NEGLIGENT MISREPRESENTATION, BREACH OF DUTY TO DEAL IN GOOD FAITH AND BREACH OF FIDUCIARY DUTY. DAMAGES ARE UNSPECIFIED. Broker Comment: LAWSUIT WAS RESOLVED BY AXA AS PART OF THE SETTLEMENT FROM A NUMBER OF LAWSUITS, CLAIMS AND THREATENED CLAIMS BY PRESENT AND FORMER POLICYHOLDERS IN MISSISSIPPI AGAINT AXA ITS AFFILATES AND/OR CURRENT AND FORMER REPRESENTATIVES. NO PORTION OF THE SETTLEMENT WAS ALLOCATED BY AXA TO RESOLVE ALLEGATIONS IN WHICH I WAS NAMED. AXA INDICATES THE SETTLEMENT IS EXCEEDS $10, 000.00. MYSELF AND AXA DENY ANY WRONGDOING OR LIABILITY IN CONNECTION TO THE CLAIMS.
Date: November 20, 2001 Category: Customer Dispute Allegations: [CUSTOMER] - WHOLE LIFE POLICY ISSUED IN 1982, 1992 - ALLEGED THAT POLICY UNDERPERFORMED ILLUSTRATED VALUES."n[OTHER CUSTOMER NAMED] - WHOLE LIFE POLICY ISSUED 1993 - ALLEGED THAT POLICY UNDERPERFORMED ILLUSTRATED VALUES."n[OTHER CUSTOMER NAMED] - WHOLE LIFE POLICY ISSUED 1980 - ALLEGED THAT SHOULD HAVE BEEN SOLD TERM POLICY."nDAMAGES IN THE COMPLAINT HAVE BEEN LISTED AS "UNSPECIFIED." THERE HAS BEEN NO ARBITRATION OR LITIGATION AS OF PRESENT DATE."nCIRCUIT COURT OF THE FIRST JUDICIAL DISTRICT OF HINDS COUNTY, MS, CASE NUMBER: [CASE NUMBER] Broker Comment: LAWSUIT WAS RESOLVED BY AXA AS PART OF THE SETTLEMENT FROM A NUMBER OF LAWSUITS, CLAIMS AND THREATENED CLAIMS BY PRESENT AND FORMER POLICYHOLDERS IN MISSISSIPPI AGAINT AXA ITS AFFILATES AND/OR CURRENT AND FORMER REPRESENTATIVES. NO PORTION OF THE SETTLEMENT WAS ALLOCATED BY AXA TO RESOLVE ALLEGATIONS IN WHICH I WAS NAMED. AXA INDICATES THE SETTLEMENT IS EXCEEDS $10, 000.00. MYSELF AND AXA DENY ANY WRONGDOING OR LIABILITY IN CONNECTION TO THE CLAIMS.
More Information
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