JOE J SHOEMAKER is currently employed as a Broker and/or Investment Adviser at NYLIFE SECURITIES LLC located at 501 GARDEN AVE, BUTTE, MT, 59701.
JOE J SHOEMAKER has worked at NYLIFE SECURITIES LLC since September 27, 1982
Disclosure History
JOE J SHOEMAKER has 2 Disclosure Event(s).
Date: December 21, 2007 Category: Customer Dispute Allegations: WITH REGARD TO THE PURCHASE OF TWO VARIABLE ANNUITY POLICIES IN OR AROUND JUNE OF 2007, THE CUSTOMERS ALLEGE THAT THESE ANNUITY POLICIES ARE WITH A NINE YEAR CONTRACT AND REMEMBERS STATING TO THE RR THAT THEY WANTED TO BE MORE AGGRESSIVE IN THE MUTUAL FUND ACCOUNTS FOR THE NEXT FIVE YEAR PERIOD AND THIS WAS NOT THE PLAN THAT THEY AGREED ON. Settlement Amount: $118,141.87 Broker Comment: BASED ON THE COMPANY'S GOOD FAITH ESTIMATE IT WAS DETERMINED THAT THE COMPENSATORY DAMAGES COULD BE MORE THAN $5,000.
Date: October 01, 2001 Category: Customer Dispute Allegations: WITH REGARD TO A TRADITIONAL WHOLE LIFE INSURANCE POLICY PURCHASED IN SEPTEMBER 1971, THE CUSTOMER ALLEGES SOME CHECKS GIVEN TO ME FOR PREMIUM PAYMENTS WERE NOT APPLIED TO THE POLICY. PLAINTIFFS SEEK UNSPECIFIED ACTUAL AND PUNITIVE DAMAGES. Settlement Amount: $30,000.00 Broker Comment: THE MATTER WAS SETTLED THROUGH A SETTLEMENT AGREEMENT AND RELEASE WITH PLAINTIFFS IN THE AMOUNT OF $30,000.00 WHICH WAS PAID BY MR. SHOEMAKER'S ERRORS AND OMISSIONS INSURANCE CARRIER.
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 JOE J SHOEMAKER, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.