JAMES LEE MCALLISTER is currently employed as a Broker and/or Investment Adviser at PRUCO SECURITIES, LLC. located at 2878 JOHNSON FERRY ROAD, SUITE 100, MARIETTA, GA, 30062.
JAMES LEE MCALLISTER has worked at PRUCO SECURITIES, LLC. since January 09, 1987
Disclosure History
JAMES LEE MCALLISTER has 2 Disclosure Event(s).
Date: July 05, 2012 Category: Customer Dispute Allegations: CLAIMANT ALLEGES THE REGISTERED REPRESENTATIVE'S RECOMMENDATION TO CONVERT HER TERM LIFE INSURANCE POLICY TO A VUL WAS UNSUITABLE. IN ADDITION, THE CLAIMANT ALLEGES THE REGISTERED REPRESENTATIVE MISSTATED HER ANNUAL AND HOUSEHOLD INCOME TO PRUDENTIAL. THE ALLEGED ACTS TOOK PLACE IN 2008. Settlement Amount: $32,500.00 12-02184
Date: October 04, 2000 Category: Customer Dispute Allegations: REGARDING THE 2000 PURCHASE OF A MUTUAL FUND, THE CLIENT ALLEGED VERBALLY, MISREPRESENTATION WITH REGARD TO NON-DISCLOSURE OF FEES. Settlement Amount: $30,786.21 Broker Comment: THE COMPANY REDEEMED THE MUTUAL FUND ACCOUNT AND WAIVED ALL SALES CHARGES. THIS MATTER IS BEING REPORTED CONSISTENT WITH NASDR RULES PERTAINING TO THE REPORTING OF CERTAIN SETTLEMENTS OVER $10,000.00. THE COMPANY BY THIS FILING MAKES NO ALLEGATIONS REGARDING THE ACTIONS OF THE REPRESENTATIVE.
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