KAY C H MATSUI

KAY C H MATSUI is currently employed as a Broker and/or Investment Adviser at TRANSAMERICA FINANCIAL ADVISORS, INC located at 1888 KALAKAUA AVE, SUITE C312, HONOLULU, HI, 96815.

KAY C H MATSUI has worked at TRANSAMERICA FINANCIAL ADVISORS, INC since January 06, 2012

Disclosure History

KAY C H MATSUI has 1 Disclosure Event(s).

Date: July 11, 2011
Category: Customer Dispute
Allegations: CUSTOMER ALLEGES THAT REPRESENTATIVE MISREPRESENTED THE PRODUCT IN THAT SHE TOLD HIM IT WAS SAFE AND IT WAS GUARANTEED TO EARN 5% PER YEAR.
Damage Amount Requested: $7,043.12
Settlement Amount: $8,000.00
Broker Comment: I HAD NO INVOLVEMENT WITH THE SALE OF THE VARIABLE ANNUITY TO THIS CLIENT. I WAS NOT THE WRITING AGENT AND WAS NOT PRESENT AT THE TIME ANY PAPERWORK WAS COMPLETED. I ONLY MET THIS CLIENT IN PASSING WHILE I WAS HAVING ANOTHER MEETING WITH THE CLIENT'S REPRESENTATIVE.

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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