JAMES PATRICK STEPHENSON is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 504 6TH AVE SE, ABERDEEN, SD, 57401.
JAMES PATRICK STEPHENSON has worked at WELLS FARGO CLEARING SERVICES, LLC since January 01, 2008
Disclosure History
JAMES PATRICK STEPHENSON has 1 Disclosure Event(s).
Date: June 09, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGED FA DID NOT ADVISE HIM THAT AFTER THE 10TH YEAR THERE WAS A CUT-OFF DATE WHEREIN THE DEATH BENEFIT OF THE ANNUITY CONTRACTS WOULD THEN BE THE CASH VALUE BUT WAS INSTEAD ADVISED BY THE FA THAT THE DEATH BENEFIT WOULD EQUAL THE PURCHASE PRICE. (4/25/2000; 6/3/1998 AND 8/26/1998). Settlement Amount: $23,411.31 Broker Comment: INFORMATION PROVIDED TO CLIENT WAS TAKEN FROM INFORMATION WHICH FIRM OBTAINED DIRECTLY FROM INSURER AND WHOLESALE REPRESENTATIVE.
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