JAMES PATRICK CONDON

JAMES PATRICK CONDON is currently employed as a Broker and/or Investment Adviser at GWFS EQUITIES, INC. located at 8515 E ORCHARD ROAD, GREENWOOD VILLAGE, CO, 80111.

JAMES PATRICK CONDON has worked at GWFS EQUITIES, INC. since November 17, 1999

Disclosure History

JAMES PATRICK CONDON has 1 Disclosure Event(s).

Date: February 22, 2005
Category: Customer Dispute
Allegations: RE: 1993 PURCHASE OF A VARIABLE APPRECIABLE LIFE INSURANCE POLICY, ALLEGES FAILURE TO DISCLOSURE PREMIUM INCREASE. ALLEGES NO DOLLAR AMOUNT.
Broker Comment: A NATIONWIDE CLASS ACTION SETTLEMENT IN WHICH PRUDENTIAL, ITS INSURANCE AFFILIATES AND PERSONNEL WERE RELEASED CONCERNING LIFE INSURANCE SALES PRACTICES. REPRESENTATIVES WERE RELEASED FROM ANY LIABILITY OR OBLIGATION.

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 JAMES PATRICK CONDON, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.