JAMES RICHARD GILBARTY

JAMES RICHARD GILBARTY is currently employed as a Broker and/or Investment Adviser at BRIGHTHOUSE SECURITIES, LLC located at 3476 Flanders Drive, Yorktown Heights, NY, 10598.

JAMES RICHARD GILBARTY has worked at BRIGHTHOUSE SECURITIES, LLC since March 06, 2017

Disclosure History

JAMES RICHARD GILBARTY has 1 Disclosure Event(s).

Date: September 05, 2007
Category: Customer Dispute
Allegations: THE CLIENT ALLEGED I (JAMES GOLBARTY) ASSURED THAT THE CLIENT WOULD EARN AN 8% RETURN ON THEIR VARIABLE LIFE INSURANCE POLICY AND FEES WERE NOT ADEQUATELY DISCLOSED. POLICY OPENED ON JUNE 11, 2005.
Damage Amount Requested: $17,694.86
Broker Comment: MY PREVIOUS FIRM, AMERIPRISE FINANCIAL SERVICES, FOUND THE TERMS AND CONDITIONS OF THE VARIABLE LIFE POLICY WERE DISCLOSED TO THE CLIENT. AMERIPROSE FINANCIAL SERVICES WAS UNABLE TO SUBSTANTIATE THAT A RETURN GUARANTEE WAS PROVIDED. AMERIPRISE FINANCIAL SERVICES FOUND NO JUSTIFICATIONS FOR SETTLEMENT WITH THE CLIENT.

More Information

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