JOSEPH RONALD GOODWIN is currently employed as a Broker and/or Investment Adviser at NYLIFE SECURITIES LLC located at 1407 EISENHOWER BOULEVARD, SUITE 301, JOHNSTOWN, PA, 15904.
JOSEPH RONALD GOODWIN has worked at NYLIFE SECURITIES LLC since August 14, 1986
Disclosure History
JOSEPH RONALD GOODWIN has 2 Disclosure Event(s).
Date: August 23, 2004 Category: Customer Dispute Allegations: WITH REGARD TO A VARIABLE LIFE INSURANCE POLICY PURCHASED IN SEPTEMBER 1997, THE CUSTOMER ALLEGES THAT I "HAD (HIM) SIGN (HIS WIFE'S) NAME TO THE APPLICATION WHILE SHE WAS NOT PRESENT." THE CUSTOMER REQUESTS A REFUND OF ALL PREMIUMS PAID. THE ALLEGED COMPENSATORY DAMAGE AMOUNT REPRESENTS THE TOTAL PREMIUMS PAID LESS WITHDRAWALS AND NET PROCEEDS ALREADY RECEIVED BY THE CUSTOMER. Damage Amount Requested: $93,713.75 Broker Comment: THIS IS A NEW COMPLAINT WITH NEW ALLEGATIONS FROM A CUSTOMER WHO HAD PREVIOUSLY COMPLAINED TO THE COMPANY, SEE OCCURENCE ID#1133617. UPON REVIEW OF POLICY RECORDS AND DATA, NEW YORK LIFE DID NOT FIND SUFFICIENT EVIDENCE TO SUPPORT THE CUSTOMER'S ALLEGATIONS. NO OFFER OF COMPENSATION HAS BEEN MADE TO THE CUSTOMER.
Date: March 21, 2003 Category: Customer Dispute Allegations: WITH REGARD TO A VARIABLE LIFE INSURANCE POLICY PURCHASED IN SEPTEMBER 1997 WITH PROCEEDS FROM AN INSURANCE POLICY FROM ANOTHER COMPANY, THE CUSTOMER ALLEGES HE "WAS NEVER TOLD THAT THE COST OF INSURANCE WOULD INCREASE AS (HE) GOT OLDER." THE CUSTOMER NOW FINDS THAT HE IS REQUIRED TO PAY HIGHER PREMIUMS TO KEEP THE POLICY IN FORCE. THE CUSTOMER REQUESTS A REFUND OF HIS INVESTMENT. Damage Amount Requested: $6,579.24 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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