JEFFERY LEE STEIN is currently employed as a Broker and/or Investment Adviser at VOYA FINANCIAL ADVISORS, INC. located at 20 WASHINGTON AVENUE, S., SUITE 150, MINNEAPOLIS, MN, 55401.
JEFFERY LEE STEIN has worked at VOYA FINANCIAL ADVISORS, INC. since December 22, 2010
Disclosure History
JEFFERY LEE STEIN has 1 Disclosure Event(s).
Date: September 04, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES SHE DIDN'T AUTHORIZE THE INITIAL PURCHASE OF BONDS IN HER ACCOUNT, THAT I FAILED TO RETURN HER PHONE CALLS AND I DID NOT FOLLOW HER INSTRUCTIONS TO LIQUIDATE THE BOND ASSETS IN A TIMELY MANNER WHICH CAUSED A $20,000 LOSS OF HER ACCOUNT. Damage Amount Requested: $20,000.00 Settlement Amount: $3,225.45 Broker Comment: CLIENT KNEW WHAT SHE OWNED AND PURCHASED. NO PURCHASE WAS MADE WITHOUT CLIENT SIGNATURE. ALL PHONE CALLS WERE RETURNED IF MESSAGE WAS LEFT. ALL FUNDS WERE LIQUIDATED PER HER INSTRUCTIONS. ONE FUND ONLY ALLOWED QUARTERLY REDEMPTIONS. IT WAS REDEEMED AT EARLIEST OPPORTUNITY. LOSS ON ACCOUNT WAS FROM SELLING INTO FALLING MARKET. ALL INVESTMENTS CONTRIBUTED TO DECLINE IN VALUE.
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