JOHN WALLER MARSHALL

JOHN WALLER MARSHALL is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 1890 MCCULLOCH BLVD N, LAKE HAVASU CITY, AZ, 86403.

JOHN WALLER MARSHALL has worked at CETERA ADVISOR NETWORKS LLC since October 31, 2011

Disclosure History

JOHN WALLER MARSHALL has 2 Disclosure Event(s).

Date: April 10, 2008
Category: Customer Dispute
Allegations: PARTIAL 1035 EXCHANGE CAUSED DECLINE IN DEALTH BENEFIT, CONTRARY TO ADVICE RECEIVED BY REP FROM ALLMERICA
Settlement Amount: $20,000.00
Broker Comment: THE CASE FROM 2008 REGARDING [CUSTOMERS] WAS RELATED TO A VARIABLE ANNUITY PARTIAL 1035 EXCHANGE WHICH CAUSED A DECLINE IN THE DEATH BENEFIT, CONTRARY TO ADVICE THE REP RECEIVED FROM ALLMERICA. THE SETTLEMENT AGREEMENT AND MUTUAL RELEASE WAS SIGNED BY ALL INVOLVED OCTOBER 30, 2009 AND THE ACTION WAS DISMISSED "WITH PREDJUDICE"

Date: January 30, 1996
Category: Customer Dispute
Allegations: SUITABILITY, ACCOUNT RELATED NEGLIGENCE, BREACH OF FIDUCIARY DUTY, ACCOUNT RELATED BREACH OF CONTRACT.
Damage Amount Requested: $45,900.00
Settlement Amount: $20,000.00
Broker Comment: JOHN MARSHALL WAS DISMISSED AT THE TIME OF THE SETTLEMENT AND DID NOT CONTRIBUTE TO THE SETTLEMENT AMOUNT AWARDED TO CLIENT.

More Information

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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.

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