JERRY NEIL HEFLEY

JERRY NEIL HEFLEY is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 2850 CLOVER ST, STE 2, PITTSFORD, NY, 14534.

JERRY NEIL HEFLEY has worked at CETERA ADVISORS LLC since January 31, 2005

Disclosure History

JERRY NEIL HEFLEY has 1 Disclosure Event(s).

Date: October 30, 2003
Category: Customer Dispute
Allegations: CUSTOMER IS ALLEGING THAT HER SIGNATURE AND INITIALS ON ACCOUNT PAPERWORK WERE FORGED. SHE IS ALSO ALLEGING MISREPRESENTATION IN THE SALE OF AN INSURANCE POLICY. SHE IS REQUESTING A FULL RETURN OF HER INVESTMENT.
Damage Amount Requested: $20,363.56
Settlement Amount: $17,432.00
Broker Comment: THE CUSTOMER'S ALLEGATIONS WERE THOROUGHLY INVESTIGATED. NO EVIDENCE OF FORGERY OR MISREPRESENTATION WAS FOUND. AS AN ACT OF GOOD FAITH AND IN SETTLEMENT OF THIS MATTER, THE COMPANY CANCELLED THE INSURANCE POLICY AND REFUNDED TO HER THE BALANCE OF PREMIUMS PAID.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

To view the full report for JERRY NEIL HEFLEY, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.