DAVID JOHN PEICHERT

DAVID JOHN PEICHERT is currently employed as a Broker and/or Investment Adviser at VOYA FINANCIAL ADVISORS, INC. located at 267 CONGDON ST, MIDDLETOWN, CT, 06457.

DAVID JOHN PEICHERT has worked at VOYA FINANCIAL ADVISORS, INC. since February 16, 2000

Disclosure History

DAVID JOHN PEICHERT has 2 Disclosure Event(s).

Date: November 23, 2009
Category: Customer Dispute
Allegations: THE CLIENT CLAIMS THAT THEY WERE TOLD BY THE RR AT THE TIME OF THE SALE THAT THE VUL THEY PURCHASED FROM THE RR WOULD NEVER GO BELOW THE FACE VALUE OF $132,000. THEY CLAIM THE RR TOLD THEM THEY WOULD NEVER HAVE TO PAY ANY ADDITIONAL PREMIUMS. THEY HAVE RECENTLY LEARNED THAT THEY WOULD NEED TO PUT MORE MONEY INTO THE CONTRACT IN ORDER TO KEEP IT FROM LAPSING.
Damage Amount Requested: $69,490.00
Broker Comment: THIS MATTER WAS INVESTIGATED THOROUGHLY BY THE BROKER/DEALER AND THE CLIENTS ALLEGATIONS WERE FOUND TO BE WITHOUT MERIT.

Date: October 28, 1980
Category: Criminal
Charges: POSSESSION OF COCAINE-FELONY POSSESSION OFCOCAINE WITH INTENT TO SELL FELONY Charge Type: FELONY
Disposition: THE CASE WAS "NOLLED" ON ABOVE FELONIES, AS INEVER POSSESSED ANY DRUGS.
Broker Comment: NOT PROVIDED

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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