GEORGE WAYNE LOLLIS is currently employed as a Broker and/or Investment Adviser at PROSPERA FINANCIAL SERVICES, INC. located at 5429 LBJ FREEWAY, SUITE 400, DALLAS, TX, 75240.
GEORGE WAYNE LOLLIS has worked at PROSPERA FINANCIAL SERVICES, INC. since November 26, 2003
Disclosure History
GEORGE WAYNE LOLLIS has 2 Disclosure Event(s).
Date: February 27, 2003 Category: Customer Dispute Allegations: THIS DRP IS BEING FILED AS A RESULT OF A U-5 AMENDMENT FROM UBS FINANCIAL SERVICES PERTAINING TO A SETTLEMENT PAID BY THEM TO THE CLIENTS FOR OMISSION OF AN INCOME BENEFIT RIDER TO AN ANNUITY POLICY. MR. LOLLIS HAS OBTAINED A LETTER FROM THE CLIENTS STATING THAT AT NO TIME HAVE THEY MADE A WRITTEN OR VERBAL COMPLAINT ALLEGING THAT HE WAS INVOLVED IN A SALES PRACTICE VIOLATION. MR. LOLLIS HAS REQUESTED FROM UBS FINANCIAL SERVICES THAT THEY REMOVE THIS ERRONEOUS INFORMATION. MR. LOLLIS WAS NOT INVOLVED IN ANY SETTLEMENT CONVERSATIONS BETWEEN THE [CUSTOMERS] AND UBS FINANCIAL, NOR DID HE CONTRIBUTE TO THE MONETARY SETTLEMENT. Settlement Amount: $200,000.00
Date: July 01, 1977 Category: Criminal
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