JOHN EDWIN PAULEY is currently employed as a Broker and/or Investment Adviser at NYLIFE SECURITIES LLC located at 1707 CLARK ROAD, CHARLESTON, WV, 25314.
JOHN EDWIN PAULEY has worked at NYLIFE SECURITIES LLC since March 08, 1983
Disclosure History
JOHN EDWIN PAULEY has 1 Disclosure Event(s).
Date: November 10, 2003 Category: Customer Dispute Allegations: WITH REGARD TO A VARIABLE ANNUITY PURCHASED IN APRIL 2003 WITH PROCEEDS FROM AN ANNUITY AT ANOTHER FIRM, THE CUSTOMER ALLEGES THE NEW YORK LIFE ANNUITY PROVIDED NO BENEFIT TO HER, THE SURRENDER CHARGE PERIOD WAS NOT ADEQUATELY DISCLOSED, AND THAT SHE WAS NOT PROPERLY ADVISED SHE WAS FORFEITING THE DEATH BENEFIT OF HER PREVIOUS POLICY. THE CUSTOMER REQUESTS A FULL REFUND PLUS INTEREST. Damage Amount Requested: $29,355.44 Broker Comment: UPON REVIEW OF POLICY RECORDS AND DATA, NEW YORK LIFE DID NOT FIND SUFFICIENT EVIDENCE TO SUPPORT THE CUSTOMER'S CLAIMS. NO OFFER OF COMPENSATION HAS BEEN MADE TO THE CUSTOMER.
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