ERIC MICHAEL JENSEN is currently employed as a Broker and/or Investment Adviser at ROYAL ALLIANCE ASSOCIATES, INC. located at 2 West Dry Creek Circle, Suite 130, Littleton, CO, 80439.
ERIC MICHAEL JENSEN has worked at ROYAL ALLIANCE ASSOCIATES, INC. since August 05, 2005
ERIC MICHAEL JENSEN has 3 Disclosure Event(s).
Date: January 21, 2016 Category: Financial Type: Compromise Disposition: Satisfied/Released
Date: March 10, 2005 Category: Customer Dispute Allegations: THE CLIENTS ALLEGED MY FINANCIAL ADVICE WAS FLAWED CAUSING THEM UNDER FINANCIAL LOSSES. Damage Amount Requested: $83,283.00 Broker Comment: THE FIRM FOUND THE RECOMMENDATIONS WERE CONSISTENT WITH THE CLIENTS' FINANCIAL GOALS AND DOCUMENTED SUITABILITY INFORMATION. THE CLIENTS PROVIDED OPTIONS AND MADE INFORMED DECISIONS REGARDING THEIR INVESTMENTS. THEY ALSO TOOK PART IN NUMEROUS PORTFOLIO REVIEWS. WE FOUND NO MERIT IN THE CLIENTS' ALLEGATIONS.
Date: October 25, 2004 Category: Customer Dispute Allegations: THE CLIENTS ALLEGE THAT I DID NOT DISCLOSE FEES ASSOCIATED WITH CANCELLING THEIR BROKERAGE ACCOUNTS. THE CLIENTS ALLEGE THAT THEY WERE NOT AWARE OF THE VARIABLE UNIVERSAL LIFE SURRENDER CHARGES. THE CLIENTS HAVE REQUESTED A WAIVER OF ALL FEES AND SURRENDER CHARGES. Damage Amount Requested: $5,000.00 Broker Comment: THE FIRM REVIEW FOUND THAT THE ADVISOR PROVIDED APPROPRIATE DISCLOSURE OF INVESTMENTS. THE ADVISOR ALSO PROVIDED DETAILED DOCUMENTATION INDICATING THAT HE MET WITH THE CLIENTS ON SEVERAL OCCASIONS AND REVIEWED THEIR INVESTMENTS AND DISCUSSED THE SURRENDER CHARGES OF THEIR VUL POLICIES.
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