JULIE MARIE RIDGEWAY is currently employed as a Broker and/or Investment Adviser at CETERA ADVISOR NETWORKS LLC located at 2380 PROFESSIONAL DR, ROSEVILLE, CA, 95661.
JULIE MARIE RIDGEWAY has worked at CETERA ADVISOR NETWORKS LLC since February 16, 2011
Disclosure History
JULIE MARIE RIDGEWAY has 2 Disclosure Event(s).
Date: August 04, 2010 Category: Customer Dispute Allegations: CLIENT WAS CONFUSED ABOUT THE BENEFIT RIDER ON HER VA ACCOUNT WITH MET LIFE AND DID NOT REALIZE SHE HAD A MIN GUARANTEE ON HER PRINCIPLE. SHE NOW UNDERSTANDS AND EVERYTHING IS FINE. Damage Amount Requested: $5,000.00 Broker Comment: CLIENT IS IN HER LATE 60'S AND RATHER THAN CALLING ME TO DISCUSS THE FEATURES OF HER INVESTMENT, SHE SENT A LETTER COMPLAINING THAT HER ACCOUNT HAD DECREASED IN VALUE WITHOUT REALIZING SHE HAD A MIN GUARANTEE OF PRINCIPLE RIDER ON THE ACCOUNT. I CALLED AND SPOKE TO HER AND FOLLOWED UP WITH A DETAILED LETTER EXPLAINING THE FEATURES, AGAIN. SHE IS QUITE HAPPY NOW AND HAS REFERRED HER SISTER TO ME AS WELL.
Date: February 15, 2006 Category: Customer Dispute Allegations: ALLEGES MISLEADING INFORMATION Damage Amount Requested: $22,698.00 Broker Comment: CLIENT ALLEGED HE WAS NOT AWARE OF HOW THE 7% RETURN OF PRINCIPLE AFFECTED HIS INVESTMENT. ON NUMEROUS MEETINGS AND PHONE CALLS FROM 7/05 THROUGH 10/05, THE CLIENT WAS TOLD THAT HE WOULD RECEIVE 7% OF HIS INVESTMENT AND AT THE END OF 14 YRS HE COULD HAVE ZERO IN HIS ACCOUNT OR MORE DEPENDING ON INVESTMENT RESULTS. FEES WERE REVIEWED NUMEROUS TIMES AND THE CLIENT READ ALL BROCHURES & PROSPECTUSES & THESE QUESTIONS WERE ANSWERED VERY CLEARLY BY MYSELF STATING ALL FEES INVOLVED. THE CLIENT HAS BEEN INVESTING FOR SEVERAL DECADES AND HAD PROVIDED ME WITH INTERNET INFORMATION ON FEES OF FUNDS HE HAD RESEARCHED.
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