FRANCIS JOSEPH GJEFLE is currently employed as a Broker and/or Investment Adviser at WADDELL & REED located at 300 CENTRAL AVENUE, SUITE 600, GREAT FALLS, MT, 59401.
FRANCIS JOSEPH GJEFLE has worked at WADDELL & REED since June 02, 1982
Disclosure History
FRANCIS JOSEPH GJEFLE has 4 Disclosure Event(s).
Date: October 20, 2005 Category: Customer Dispute Allegations: PLANTIFF ALLEGED NEGLIGENT SUPERVISION IN CONNECTION WITH THE PURCHASE OF A VARIABLE UNIVERSAL LIFE INSURANCE POLICY. Settlement Amount: $390,000.00
Date: October 19, 2005 Category: Customer Dispute Allegations: PLANTIFF ALLEGED NEGLIGENT SUPERVISION IN CONNECTION WITH THE PURCHASE OF A VARIALBE UNIVERSAL LIFE INSURANCE POLICY. Settlement Amount: $195,000.00
Date: May 13, 2005 Category: Customer Dispute Allegations: CLIENTS ALLEGE THEY WERE NOT GIVEN ADEQUATE INFORMATION FROM THEIR RR ABOUT THE CDSC PERIOD OF VARIABLE ANNUITY CONTRACTS PURCHASED IN DECEMBER 2003. Damage Amount Requested: $9,738.07 Broker Comment: WADDELL & REED, INC. DID NOT RECEIVE THE COMPLAINT DIRECTLY FROM THE CLIENT BUT FROM THE STATE OF MONTANA.
Date: November 22, 1993 Category: Criminal Charges: PROVIDING FALSE INFORMATION TO ACQUIRE A RESIDENT HUNTING LICENSE. 3 COUNTS FOR 3 YRS -- MISDEMEANOR -- GUILTY ON EACH COUNT.1 COUNT - FALSE INFORMATION TO OBTAIN A RESIDENT HUNTING LICENSE, MISDEMEANOR, GUILTY,NA. COUNT 2 - PROVIDE FALSE INFORMATION TO OBTAIN A RESIDENT HUNTING LICENSE, MISDEMENEANOR, GUILTY, NA. COUNT 3 - PROVIDE FALSE INFORMATION TO OBTAIN A NON-RESIDENT HUNTING LICENSE, MISDEMEANOR, GUILTY, NA. Charge Type: MISDEMEANOR Disposition: I WAS CHARGED A TOTAL OF $1803 IN FINES AND LOSS OF HUNTING & FISHING PRIVILEGE FOR 18 MONTHS, AND HUNTING FOR AN ADDITIONAL 36 MONTHS. COUNT 1, CONVICTED, FINED & SUSPENSION OF LICENSE, $1803 TOTAL, 3/1/94. COUNT 2, CONVICTED, FINED AND SUSPENSION OF LICENSE, $1803 TOTAL, 3/1/94. COUNT 3, CONVICTED, FINED & SUSPENSION OF LICENSE, $1803 TOTAL, 3/1/94. Broker Comment: I HAD ASSUMED THAT I WAS OK TO HUNT AS A RESIDENT WITH A MT DRIVER'S LICENSE & OWNED PROPERTY IN MONTANA -- THE RULES WERE THAT I NEED TO PAY STATE INCOME TAXES AS WELL, IT WAS A BIG MISTAKE.
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