LEWIS CLIFTON MATHEWS is currently employed as a Broker and/or Investment Adviser at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED located at 1331 N CALIFORNIA BLVD, WALNUT CREEK, CA, 94596.
LEWIS CLIFTON MATHEWS has worked at MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED since July 01, 2011
Disclosure History
LEWIS CLIFTON MATHEWS has 4 Disclosure Event(s).
Date: August 13, 2015 Category: Customer Dispute Allegations: CUSTOMER ALLEGES THE SURRENDER PERIOD OF HIS INVESTMENT WAS MISREPRESENTED. (5/14/2008) Damage Amount Requested: $32,560.00
Date: June 29, 2012 Category: Customer Dispute Allegations: CLIENT STATES SHE DID NOT AUTHORIZE TRANSFER OF FUNDS OR THE SALE OF XOM AND GE IN HER ACCOUNT. (01/01/2009-06/29/2012)
Date: October 10, 2011 Category: Customer Dispute Allegations: POA ALLEGES THAT B SHARE MUTUAL FUNDS WERE NOT APPROPRIATE DUE TO CLIENTS AGE. (11/09/2009-11/23/2009) Damage Amount Requested: $7,735.00 Settlement Amount: $7,735.00
Date: August 05, 2008 Category: Customer Dispute Allegations: CLIENT STATES FA MIS REPRESENTED THE TERMS OF THE JACKSON NATIONAL VARIBLE ANNUITY MGIB RIDER LEADING HER TO BEILEVE THERE WAS A 7% ANNUAL RATE GUARANTEE AND THEN THE FA FAILED TO EVEN INCLUDE THE RIDER ON THE APPLICATION. SEEKING RETURN OF FULL INVESTMENT LOF $180,000 PLUS 9% INTEREST FOR 2 YEARS. REASONABLE ESTIMATE OF CLAIM BELIVED TO BE OVER $10,000. (05/05/2006 - 08/01/2008) Broker Comment: PROVIDED COPIES OF APPLICATION AND DISCLOSURE DOCS SIGNED BY CLIENT. APPEARS CLIENT WAS WELL AWARE THAT A VARIABLE ANNUITY WAS BEING PURCHASED.
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