DAVID EDWARD PENTEK is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 2050 RIVERSIDE DR SUITE 303, GREEN BAY, WI, 54301.
DAVID EDWARD PENTEK has worked at LPL FINANCIAL LLC since February 14, 2018
Disclosure History
DAVID EDWARD PENTEK has 3 Disclosure Event(s).
Date: July 12, 2012 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THE REPRESENTATIVE MISREPRESENTED THE VARIABLE ANNUITY PURCHASED IN JULY 2007. CUSTOMER HAS ALLEGED DAMAGES FOR THE RETURN OF THE ORIGINAL PURCHASE AMOUNT AS NOTED BELOW. Damage Amount Requested: $185,000.00 Broker Comment: IN 2007 I WAS AN ACTING MET LIFE SALES MANAGER WITH THE WRITING REPRESENTATIVE ON THIS CLIENT. WE FULLY DISCLOSED THE ANNUITY FEES AND TERMS OF THE ANNUITY WITH ALL PROPER SALES MATERIALS PROVIDED BY MET LIFE INCLUDING A PROSPECTUS. IT WAS CUSTOMARY FOR MET LIFE SALES MANAGERS TO WORK IN THE FIELD WITH REPRESENTATIVES. THE CLIENT FULLY UNDERSTOOD THE ANNUITY SHE PURCHASED.
Date: March 10, 2010 Category: Financial Type: Bankruptcy Disposition: Discharged
Date: June 09, 2008 Category: Customer Dispute Allegations: CUSTOMERS ALLEGE THE REPRESENTATIVE USED LOANS FROM THEIR NON-VARIABLE LIFE INSURANCE POLICIES TO PURCHASE MUTUAL FUNDS AND ANNUITIES. NO SPECIFIC COMPENSATORY DAMAGES WERE ALLEGED.
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