JEFFREY THOMAS WILKIE is currently employed as a Broker and/or Investment Adviser at NYLIFE SECURITIES LLC located at 95 HARDING DRIVE, NEW ROCHELLE, NY, 10801.
JEFFREY THOMAS WILKIE has worked at NYLIFE SECURITIES LLC since July 31, 1986
Disclosure History
JEFFREY THOMAS WILKIE has 1 Disclosure Event(s).
Date: March 05, 2004 Category: Customer Dispute Allegations: WITH REGARD TO THE PURCHASE OF MUTUAL FUND SHARES IN JANUARY 2004, THE CUSTOMER ALLEGES I FAILED TO ADEQUATELY INFORM HIM OF THE "60 DAY EXCESSIVE TRADING RULE." THE CUSTOMER REQUESTS A REFUND OF HIS INVESTMENT WITHOUT INCURRING ANY CHARGES. Damage Amount Requested: $100,000.00 Broker Comment: 04/08/2004 - UPON REVIEW OF POLICY RECORDS AND DATA, NEW YORK LIFE DID NOT FIND SUFFICIENT EVIDENCE TO SUPPORT THE CUSTOMER'S CLAIMS. NO OFFER OF COMPENSATION HAS BEEN MADE TO THE CUSTOMER. ***10/28/2004 - THE COMPANY OFFERED TO ALLOW THE CUSTOMER TO CLOSE HIS MUTUAL FUND ACCOUNT AT ANYTIME IN THE FUTURE WITHOUT DEDUCTING THE APPLICABLE CONTINGENT DEFERRED SALES CHARGES ("CDSC"). AT THE TIME THE CUSTOMER ACCEPTED THE OFFER, HIS ACCOUNTS WERE STILL SUBJECT TO APPROXIMATELY $5,000.00 IN CDSC.
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