KELLY RUTH DARBY

KELLY RUTH DARBY is currently employed as a Broker and/or Investment Adviser at MWA FINANCIAL SERVICES INC. located at 1336 CLOVER STREET, JACKSON, MO, 63755.

KELLY RUTH DARBY has worked at MWA FINANCIAL SERVICES INC. since February 28, 2012

Disclosure History

KELLY RUTH DARBY has 1 Disclosure Event(s).

Date: October 10, 2012
Category: Customer Dispute
Allegations: CUSTOMER PASSED AWAY 10 WEEKS AFTER PURCHASING A SINGLE PREMIUM IMMEDIATE FIXED ANNUITY WITH NO PERIOD CERTAIN THROUGH FIRM'S PARENT COMPANY, MODERN WOODMEN OF AMERICA. CUSTOMER'S SONS ALLEGE PRODUCT WAS NOT SUITABLE FOR THEIR MOTHER.
Damage Amount Requested: $24,801.00
Broker Comment: THE FIRM WAS NOTIFIED BY THE PARENT COMPANY OF AN ERROR IN RECEIVING AN EMAIL STATING THAT THE CASE AGAINST THE REPRESENTATIVE WAS CLOSED ON 1/8/13. THE CASE IS STILL OPEN AS OF 1/15/13 THUS THE 1/15/13 AMENDMENT "REOPENING" THE COMPLAINT.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

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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