J. RICHARD MATHEIS is currently employed as a Broker and/or Investment Adviser at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. located at 6240 W. 135TH ST., SUITE 200, OVERLAND PARK, KS, 66223.
J. RICHARD MATHEIS has worked at BERTHEL, FISHER & COMPANY FINANCIAL SERVICES, INC. since February 26, 2008
Disclosure History
J. RICHARD MATHEIS has 1 Disclosure Event(s).
Date: October 31, 2001 Category: Customer Dispute Allegations: CUSTOMER ALLEGED VUL POLICY WAS NOT SUITABLE. Broker Comment: CUSTOMER ALLEGED THAT THE VUL POLICY PURCHASED IN FEB 2001 WAS UNSUITABLE BECAUSE IT PROVIDES MORE INSURANCE THAN NEEDED. THESE ALLEGATIONS ARE FALSE, THE POLICY WAS PURCHASED TO IMPLEMENT AN ESTATE PLAN DEVELOPED BY CUSTOMER AND THEIR ATTORNEY, THE FACE VALUE REFLECTED THE REQUIRED AMOUNT OF INSURANCE NEEDED TO INCLUDE COVERAGE OF THE VALUE OF THE CUSTOMER'S COMPANY. CUSTOMER PROVIDED FINANCIAL DATA AND CO. VALUE WHICH WAS USED TO BASE AMOUNT OF INSURANCE COVERAGE NEEDED. VSR FOUND NO WRONGDOING AND DENIED CUSTOMERS REQUEST FOR RECISSION.
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