DANIEL CHARLES STEWART is currently employed as a Broker and/or Investment Adviser at SECURITIES AMERICA, INC. located at 6361 WARWICK ST, SHAWNEE, KS, 66218.
DANIEL CHARLES STEWART has worked at SECURITIES AMERICA, INC. since November 28, 2017
Disclosure History
DANIEL CHARLES STEWART has 2 Disclosure Event(s).
Date: October 06, 2016 Category: Customer Dispute Allegations: Negligence. Client alleges rep was instructed to move account to cash on November 11, 2015 and it was not done until January 16, 2016 causing a loss. Damage Amount Requested: $40,000.00 Settlement Amount: $18,750.00 Broker Comment: Client alleged that he sent an email to liquidate his account. I never saw the email. Had I seen it I could not acted on it as we cannot accept email instructions from clients nor did I have discretion to trade the account. In a January meeting the client mentioned the email. Against my advice client insisted upon liquidating the account at the time.
Date: May 16, 2002 Category: Customer Dispute Allegations: LATE 2000 CLIENT PURCHASED IN AUGUST VUL & VA CONTRACTS, CLIENT ALLEGES THAT SHE WAS SOLD A PAID UP POLICY, CLIENT IS NOW RECEIVING PREMIUM BILLS & THAT CLIENTS INVESTMENTS ARE LOSING MONEY. NO SPECIFIC COMPENSATORY DAMAGES ALLEGED. Broker Comment: LINCOLN BENEFIT LIFE COMPANY DETERMINED THAT THE PRODUCTS AT ISSUE WERE SOLD UNDER APPROPRIATE CIRCUMSTANCES
More Information
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