LYLE HANS-CHRISTIAN PENNELL is currently employed as a Broker and/or Investment Adviser at LPL FINANCIAL LLC located at 200 Mountain Rd., Farmington, CT, 06032.
LYLE HANS-CHRISTIAN PENNELL has worked at LPL FINANCIAL LLC since December 04, 2015
Disclosure History
LYLE HANS-CHRISTIAN PENNELL has 1 Disclosure Event(s).
Date: July 27, 2009 Category: Customer Dispute Allegations: PLAINTIFF CLAIMS THAT SHE PURCHASED A VARIABLE ANNUITY FROM HARTFORD LIFE IN 1998. PLAINTIFF ALLEGES THAT IN ABOUT 10/07, SHE INSTRUCTED HER AMPF ADVISOR TO NOTIFY HARTFORD LIFE TO REQUEST A FUND TRANSFER AND REQUEST THAT A MINIMUM BALANCE BE MAINTAINED IN THE ACCOUNT TO MAINTAIN THE DEATH BENEFIT. IN 05/08, PLAINTIFF WAS NOTIFIED BY HARTFORD THAT THE $60,000 DEATH BENEFIT WAS TERMINATED DUE TO THE FAILURE TO MAINTAIN THE MINIMUM BALANCE. Damage Amount Requested: $15,000.00 Settlement Amount: $19,000.00 Broker Comment: AMERIPRISE CHOSE TO SETTLE THIS MATTER IN ORDER TO AVOID THE COSTS ASSOCIATED WITH LITIGATION.
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