JEANNE ANNE SUTTIE is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 5855 NAPLES PLAZA SUITE 103, LONG BEACH, CA, 90803.
JEANNE ANNE SUTTIE has worked at LPL FINANCIAL LLC since November 29, 2017
Disclosure History
JEANNE ANNE SUTTIE has 1 Disclosure Event(s).
Date: March 18, 2002 Category: Customer Dispute Allegations: THE CLIENT ALLEGED THAT I PERSUADED HER TO PURCHASE A LIFE INSURANCE POLICY, WHICH WAS NOT AN APPROPRIATE INVESTMENT FOR HER. IN ADDIITON, SHE ALLEGED THAT I DID NOT PROVIDE FULL AND FAIR DISCLOSURE OF THE PRODUCT PRIOR TO THE PURCHASE. Damage Amount Requested: $25,600.00 Settlement Amount: $17,515.71 Broker Comment: THE CLIENT ACCEPTED OUR OFFER TO SURRENDER THE POLICY WITH WAIVER OF SURRENDER CHARGES. THE REVIEW FOUND THE POLICY WAS NOT SUITABLE BASED ON HER FINANCIAL GOALS AND OBJECTIVES. THE REVIEW FURTHER FOUND THE CLIENT DID RECIEVE FULL DISCLOSURE. FINALLY, THE REVIEW FOUND NO EVIDENCE THE CLIENT WAS PRESSURED TO PURCHASE THE POLICY.
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