JEFF CHARLES GILBERT is currently employed as a Broker and/or Investment Adviser at AMERIPRISE FINANCIAL SERVICES, INC. located at 530 W SPRING ST, STE 150, COLUMBUS, OH, 43215.
JEFF CHARLES GILBERT has worked at AMERIPRISE FINANCIAL SERVICES, INC. since June 24, 1987
JEFF CHARLES GILBERT has 2 Disclosure Event(s).
Date: January 03, 2007 Category: Customer Dispute Allegations: THE CLIENT ALLEGED THE ADVISOR MISREPRESENTED THE VUL POLOCY THEY BOUGHT IN JAN 2001. THE CLIENT REQUESTED THE FIRM COVER FUTURE PREMIUMS TO PREVENT IT FROM LAPSING. Damage Amount Requested: $17,000.00 Broker Comment: IN THE COURSE OF THE INVESTIGATION WE OFFERED THE CLIENT A CASH SETTLEMENT BASE ON THEIR ALLEGATION. HOWEVER, THE CLIENT DID NOT RESPOND IN THE TIME GIVEN AND THE OFFER WAS WITHDRAWN. THE FIRM FOUND THE VUL WAS NOT FUNDED AS NOTED ON THE ILLUSTRATION AND THE VUL WAS NOT PROPERLY MONITORED WHICH MAY HAVE CONTRIBUTED TO THE LOSS IN CASH VALUE. THE FIRM REFUNDED THE PREMIUMS AS OF THE FINAL PREMIUM PAYMENT. THE OFFER WAS ACCEPTED.
Date: November 04, 2003 Category: Customer Dispute Allegations: THE CLIENT ALLEGED HE WAS NOT TOLD ABOUT SURRENDER CHARGES, SALES LOADS, OR THAT HE COULDN'T ACCESS HIS ANNUITY WITHOUT PENALTY UNTIL AGE 59 1/2. Damage Amount Requested: $13,349.00 Settlement Amount: $4,386.21 Broker Comment: THE FIRM FOUND THE ADVISOR PROVIDED THE CLIENT WITH INCORRECT IFNORMATION REGARDING CDSC WAIVERS. THE CLIENT WAS PROVIDED CORRECT DISCLOSURE OF HIS ANNUITY'S SURRENDER CHARGES AND FOR THE PENALTIES FOR SURRENDERS PRIOR TO AGE 59 1/2. THE CLIENT ACCEPTED OUR OFFER TO REFUND $4,386.21 IN CDSC.
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