JO ANN E FAVIA is currently employed as a Broker and/or Investment Adviser at KESTRA INVESTMENT SERVICES, LLC located at 333 S. ARDMORE AVE, VILLA PARK, IL, 60181.
JO ANN E FAVIA has worked at KESTRA INVESTMENT SERVICES, LLC since November 03, 2008
Disclosure History
JO ANN E FAVIA has 2 Disclosure Event(s).
Date: December 28, 2017 Category: Customer Dispute Allegations: On 12/26/17, the client submitted a complaint alleging the adviser did not clearly explain the rider benefits. Damage Amount Requested: $140,262.00
Date: June 30, 2006 Category: Regulatory Initiated By: STATE OF WISCONSINCASE NO. 06-C30308PO BOX 7872MADISON WI 53707 Allegations: FAILURE TO DISCLOSE ADMINISTRATIVE ACTION I MISTAKENLY FAILED TO DISCLOSE THE NOVEMBER 2001 STIPULATION ON MY LICENSE RENEWAL APPLIATION FOR THE WISCONSIN LICENSE Resolution: Other Broker Comment: STATE OF WISCONSIN DEPARTMENT OF INSRUANCEREASON FOR ACTION FAILURE TO DISCLOSE ADMINISTRATIVE ACTIONPENALTY DENIAL OF ISSUING LICENSE FOR 31 DAYSEXPLANATION OF OCCURRENCEI MISTAKENLY FAILED TO DISCLOSE THE NOVEMBER 2001 STIPULATION ON MY RENEWAL APPLICATION FOR THE WI LICENSE.
More Information
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