JOHN RAYMOND MATA is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 21 WATERWAY AVENUE, SUITE 300, THE WOODLANDS, TX, 77380.
JOHN RAYMOND MATA has worked at CETERA ADVISOR NETWORKS LLC since November 01, 2017
Disclosure History
JOHN RAYMOND MATA has 2 Disclosure Event(s).
Date: December 01, 2014 Category: Customer Dispute Allegations: ON OR ABOUT JULY 16, 2014, CLIENT INVESTED A SMALL PORTION OF HIS LIQUID NET WORTH IN A VARIABLE ANNUITY FOR WHICH HE NOW DEEMS UNSUITABLE. Damage Amount Requested: $77,672.42 Broker Comment: CLIENT CLAIMS UNSUITABLE INVESTMENTS IN A VARIABLE ANNUITY, INVESTMENT AMOUNT $77,672.42. WANTS INVESTMENT CANCELLED AND FUNDS TO BE RETURNED TO HIS 401K, PLUS A RETURN OF ALL FEES AND COMMISSIONS PAID TO REPRESENTATIVE (THOSE FEES TOTAL $186.94).THIS IS A SUITABLE INVESTMENT FOR THIS CLIENT; IT REPRESENTS A SMALL PORTION OF HIS LIQUID NET WORTH. CLIENT SPECIFICALLY ASKED ABOUT INVESTMENTS IN VARIABLE ANNUITIES IT WAS HIS DESIRE TO MAKE THIS INVESTMENT FOR THE INCOME FEATURES, INCOME GUARANTEE, THE MINIMUM GUARANTEES, FAMILY PROTECTION AND DEATH BENEFIT. THIS VA INVESTMENT MET THE CLIENT'S STATED OBJECTIVES. CLIENT ACKNOWLEDGED THE LONG TERM NATURE OF THIS INVESTMENT AND HIS UNDERSTANDING OF THE FEES, AS ALL CLIENT ACKNOWLEDGED FORMS CLEARLY DETAIL THE COSTS, FEES AND EXPENSES FOR THIS INVESTMENT AND WERE WELL DETAILED DURING HIS SALES PRESENTATION. CLIENT WAS PROVIDED THE PROSPECTUS FOR THIS INVESTMENT ON TWO SEPARATE OCCASIONS AND ACKNOWLEDGED RECEIPT AND UNDERSTANDING. CLIENT ALSO HAD A FREE LOOK PERIOD WHICH OFFERED AMPLE TIME TO FURTHER REVIEW THE POLICY; CLIENT DID NOT CHOOSE TO SURRENDER HIS POLICY DURING THIS FREE LOOK PERIOD.THIS COMPLAINT IS WITHOUT MERIT AND WAS DENIED.
Date: June 05, 1991 Category: Criminal Charges: PETTY THEFT: 1, 1 COUNT, 2. MISDEMEANOR 3. NO CONTEST. Charge Type: MISDEMEANOR Disposition: PETTY THEFT: A. CONVICTED B. 08/13/1991 C. UNSUPERVISED PROBATION D. 1 YEAR E. 8/13/1991 F. $160.00 G. 11/12/1991. Broker Comment: ON JUNE 5, 1991 I WAS WITH A FRIEND WHO TOOK SOME MERCHANDISE FROM A STORE, VALUE $10. BEING I WAS WITH HIM, I WAS AN ACCESSORY. I RECEIVED 1 YEAR PROBATION UNSUPERVISED OR A MISDEMEANOR.
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