JAMES ROBERT CALDWELL is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 13321 California St, Suite 100, Omaha, NE, 68154.
JAMES ROBERT CALDWELL has worked at CETERA ADVISOR NETWORKS LLC since February 13, 2017
JAMES ROBERT CALDWELL has 3 Disclosure Event(s).
Date: March 08, 2015 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THAT THE FA PROVIDED POOR ADVICE REGARDING ESTABLISHING A SEP IRA ACCOUNT WHICH RESULTED IN HIGHER TAXES Settlement Amount: $6,015.00
Date: October 29, 2013 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT REPRESENTATIVE MISREPRESENTED ONE OF TWO VARIABLE ANNUITIES PURCHASED IN NOVEMBER 2010. Broker Comment: CLAIM HAS BEEN DENIED. THE REPRESENTATIVE AND THE CUSTOMER SPECIFICALLY DISCUSSED THAT THE TWO VARIABLE ANNUITIES WOULD BE OWNED AS PART OF A COORDINATED PLAN PURSUANT TO WHICH THE ONE SHE COMPLAINED ABOUT WOULD PROVIDE A "BRIDGE" OF GUARANTEED INCOME UNTIL THE TIME THAT SHE WOULD BEGIN RECEIVING SOCIAL SECURITY, AND THE OTHER, WHICH SHE DID NOT COMPLAIN ABOUT, WOULD PROVIDE GUARANTEED INCOME TO SUPPLEMENT SOCIAL SECURITY.
Date: May 04, 2011 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THAT VARIABLE ANNUITY PURCHASED IN DECEMBER 2010 WAS UNSUITABLE AND SOUGHT REFUND OF PREMIUM AMOUNT. Settlement Amount: $6,172.25 Broker Comment: COMPLAINT WAS SETTLED AS A CUSTOMER ACCOMMODATION TO AVOID THE TIME AND EXPENSE OF FURTHER PROCEEDINGS. AFTER ACCOUNTING FOR PREVIOUS WITHDRAWALS, CUSTOMER'S LOSS WAS $6,172.25, AND THIS AMOUNT WAS AGREED UPON AS SETTLEMENT.
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