GEORGE HARRISON SIMSER is currently employed as a Broker and/or Investment Adviser at LINCOLN INVESTMENT located at 636 COFFEEN ST., WATERTOWN, NY, 13601.
GEORGE HARRISON SIMSER has worked at LINCOLN INVESTMENT since January 03, 2017
Disclosure History
GEORGE HARRISON SIMSER has 2 Disclosure Event(s).
Date: October 04, 2011 Category: Customer Dispute Allegations: CLAIMANT ALLEGES REGISTERED REPRESENTATIVE IMPROPERLY ADVISED HIM TO RETIRE EARLY, PURCHASE A VARIABLE ANNUITY AND THAT HE COULD TAKE WITHDRAWALS OF ALMOST 10% A YEAR WITHOUT RISKING HIS PRINCIPAL. DAMAGES NOT SPECIFIED. Settlement Amount: $4,000.00 Broker Comment: THE MATTER WAS SETTLED IN THE AMOUNT OF $4000. LOSS TO FIRM $4000. RR SIMSER'S ERRORS AND OMISSIONS CARRIER DID NOT CONTRIBUTE TO THE SETTLEMENT.
Date: October 25, 2002 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT I DIDN'T EXPLAIN THAT THE TAX-DEFERRAL BENEFIT PROVIDED BY ANNUITIES WOULD HAVE BEEN AVAILABLE TO HIM WITHOUT AN INSURANCE PRODUCT IF HE HAD KEPT HIS 401(K) ACCOUNT IN TACT OR ROLLED IT INTO ANY SELF-DIRECTED IRA. HIS ORIGINAL INVESTMENT HAS NOW LOST APPROXIMATELY $16,000. Damage Amount Requested: $16,000.00 Settlement Amount: $1,031.22 Broker Comment: ALTHOUGH THE FIRM FOUND NO CONTRACTUAL BASIS TO DO SO, IN THE INTEREST OF GOOD CLIENT RELATIONS THE FIRM AGREED TO WAIVE THE CONTINGENT WITHDRAWAL CHARGE. LOSS TO THE FIRM WAS $1,031.22.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for GEORGE HARRISON SIMSER, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.