JAMES RICHARD COOK is currently employed as a Broker and/or Investment Adviser at AXA ADVISORS, LLC located at 4327-A BOULEVARD PARK S, MOBILE, AL, 36609.
JAMES RICHARD COOK has worked at AXA ADVISORS, LLC since October 20, 1980
Disclosure History
JAMES RICHARD COOK has 2 Disclosure Event(s).
Date: June 28, 2013 Category: Financial Type: Compromise Disposition: Satisfied/Released Broker Comment: I did not realize this was a compromise I paid the exact bill we received. This was final phone bill of my daughter at college and ATT failed to send the final bill to the correct address.
Date: March 03, 1997 Category: Customer Dispute Allegations: [CUSTOMER] ALLEGES THAT I REPRESENTED TO HIM THAT IF HE ROLLED THE CASH VALUE FROM HIS 3 EXISTING POLICIES INTO A NEW POLICY I OFFERED, THAT I GUARANTEED HE WOULD ONLY HAVE TO PAY PREMIUMS FOR 14 YEARS AND THAT NO FURTHER PREMUIMSWOULD BE DUE. HE FURTHER ALLEGES THAT I FRADUENTLY FAILED TODISCLOSE THAT PREMIUMS WOULD BE REQUIRED TO BE PAID FOR LIFE. DAMAGES ARE UNSPECIFIED. I AM AN AGENT OF EQUITABLE LIFE. Settlement Amount: $200,000.00 Broker Comment: [CUSTOMER] RECEIVED $200,000.00 IN FULL AND FINALSETTLEMENT OF THIS LITIGATION. OF THAT AMOUNT EQUITABLE LIFEPAID $186,000.00 AND MY ERRORS AND OMISSIONS CARRIER PAID$14,000,OO ON MY BEHALF.
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