LONNIE THOMAS SHANNON

LONNIE THOMAS SHANNON is currently employed as a Broker and/or Investment Adviser at VOYA FINANCIAL ADVISORS, INC. located at 1501 42ND ST STE 110, WEST DES MOINES, IA, 50266.

LONNIE THOMAS SHANNON has worked at VOYA FINANCIAL ADVISORS, INC. since January 01, 2004

Disclosure History

LONNIE THOMAS SHANNON has 2 Disclosure Event(s).

Date: October 19, 2004
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT THE ACCOUND WAS MARGINED AND CHURNED AND NOT TO HIS BEST INTEREST
Broker Comment: FIRM COULD NOT SUBSTANTIATE CLAIM AND FOUND NO ACTION WARRANTED. MATTER CLOSED.

Date: August 21, 2002
Category: Customer Dispute
Allegations: NOT SPECIFIED; ALLEGIES SHE INVESTED $59000 AND SEEKS COMPENSATION FOR LOSSES. ALSO DOES NOT BELIEVE PRODUCT IN OCTOBER 2000 WAS SUITABLE
Broker Comment: BASED ON FACTS TRANSAMERICA REVIEWED THAT THEY WOULD DENY COMPENSATION FOR MARKET LOSS

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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