Date: December 26, 2012 Category: Judgment / Lien Judgment/Lien Amount: $109,929.76 Judgment/Lien Type: Tax Broker Comment: REGISTER OF DEEDS, SHAWNEE COUNTY, TOPEKA, KANSAS BALANCE OF PERSONAL INCOME TAX, YEAR 2011.
Date: March 06, 2012 Category: Judgment / Lien Judgment/Lien Amount: $55,438.72 Judgment/Lien Type: Tax Broker Comment: REGISTER OF DEEDS, SHAWNEE COUNTY, TOPEKA KS. BALANCE OF PERSONAL INCOME TAX, YEAR 2010.
Date: December 15, 2010 Category: Judgment / Lien Judgment/Lien Amount: $239,214.09 Judgment/Lien Type: Tax Broker Comment: REGISTER OF DEEDS, SHAWNEE COUNTY, TOPEKA KS. BALANCE OF PERSONAL INCOME TAXES, INCLUDING INTEREST AND PENALTY.
Date: January 09, 2007 Category: Customer Dispute Allegations: COMPLAINT RECEIVED FROM KS INSURANCE DEPARTMENT REGARDING UILIC ADVANTAGE II VARIABLE ANNUITY REGISTERED TO [CUSTOMER]. CUSTOMER ALLEGES THAT RR MISREPRESENTED TO HER THAT SHE WOULD RECEIVE ATLEAST 4-12% RETURN ON HER INVESTMENT. VARIABLE ANNUITY WAS SOLD TO THE CUSTOMER ON JUNE 27, 2000. Damage Amount Requested: $10,189.19
Date: June 26, 2006 Category: Customer Dispute Allegations: RELATES TO A COMPLAINT RECEIVED BY THE COMPANY FROM THE SEC. THE CLIENT DID NOT UNDERSTAND WHY HIS POLICY WAS SURRENDERED WITHOUT VALUE, CAUSING A LOSS OF DEATH BENEFIT, FOLLOWING A PAYMENT OF AN ANNUAL POLICY FEE AND AN ANNUAL SALES EXPENSE TRANSACTED IN 2/09/2006. Damage Amount Requested: $140,265.81 Settlement Amount: $73,155.00
Date: September 06, 2005 Category: Customer Dispute Allegations: COMPLAINT RECEIVED FROM SECURITIES EXCHANGE COMMISSION (SEC). CLIENT ALLEGES THAT RR MISREPRESENTED VARIABLE ANNUITY PRODUCT HE RECOMMENDED. Damage Amount Requested: $138,261.00 Broker Comment: FIRM FOUND NO WRONG DOING ON BEHALF OF RR.
Date: July 06, 2004 Category: Customer Dispute Allegations: ON 06/18/01, CLIENTS EXCHANGED THEIR VARIABLE ANNUITY POLICIES FOR NEW VARIABLE POLICIES ISSUED BY A DIFFERENT INSURANCE COMPANY. CLIENTS ARE NOW QUESTIONING THE SUITABILITY OF RR'S RECOMMENDATION. CLIENT'S ARE REQUESTING THAT SURRENDER CHARGES BE WAIVED. Damage Amount Requested: $5,577.00 Settlement Amount: $1,754.29 Broker Comment: SETTLEMENT WITH CUSTOMER WAS PART OF FIRM'S GLOBAL REGULATORY SETTLEMENT. RR DID NOT CONTRIBUTE AND WAS NOT A PART OF THE SETTLEMENT.
Date: August 30, 2002 Category: Customer Dispute Allegations: THE FIRM NEVER RECIEVED AN ACTUAL CUSTOMER COMPLAINT FROM THE CLIENT. BASED ON THE INFORMATINO PROVIDED BY THE KANSAS OFFICE OF THE SECURITIES COMMISSIONER, THE COMPLAINT ALLEGES THAT, IN MARCH OF 2002, REGISTERED REPRESENTATIVE RECOMMENDED UNSUITABLE INVESTMENT SUBACCOUNTS IN A VARIABLE ANNUITY. APPLICANT DENIES THESE ALLEGATIONS. EVAN L JOHNSON Settlement Amount: $21,655.53
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