MARC GREGORY MINOR is currently employed as a Broker and/or Investment Adviser at WOODBURY FINANCIAL SERVICES, INC. located at 430 N MAIN STREET, EAST PEORIA, IL, 61611.
MARC GREGORY MINOR has worked at WOODBURY FINANCIAL SERVICES, INC. since April 23, 2003
Disclosure History
MARC GREGORY MINOR has 4 Disclosure Event(s).
Date: December 23, 2016 Category: Customer Dispute Allegations: Client alleges they sustained damages after the insurance company exercised a contractual provision. Client also alleges that the advisor told them the money was 100% guaranteed by the death benefit. Damage Amount Requested: $62,000.00 Broker Comment: I have continually performed above and beyond due diligence in communicating with multiple representatives of the insurance company prior to, during the process of, and even after the conclusion of this client's contract. The insurance company provided me, and the client and her family, misinformation regarding material contractual provisions. The insurance company has been unwilling to amicably resolve this matter.
Date: January 19, 2016 Category: Customer Dispute Allegations: The customer alleged that the investment strategy of a third-party money manager was misrepresented. Settlement Amount: $5,000.00 Broker Comment: The complainant had come away from a previous presentation by the third party investment advisor with a different recollection of the investment strategy than her spouse. While Woodbury found no merit to the complaint and it was denied in March 2016, the complaint was later settled in the interest of customer goodwill and an amicable relationship going forward.
Date: February 16, 2012 Category: Customer Dispute Allegations: CLIENT ALLEGES MUTUAL FUND POSITIONS WERE LIQUIDATED IN HIS FEE BASED ADVISORY ACCOUNT WITHOUT HIS AUTHORIZATION TO FACILITATE AN ACCOUNT TRANSFER REQUEST.
Date: December 19, 2005 Category: Customer Dispute Allegations: CLAIMANTS BEGAN INVESTING WITH THIS REGISTERED REP IN VARIABLE ANNUITY PRODUCTS IN THE FALL OF 2001. CLAIMANTS ALLEGE UNSUITABLE RECOMMENDATIONS,NEGLIGENCE, MISREPRESENTATION & FRAUD. Damage Amount Requested: $500,000.00 Settlement Amount: $56,000.00 Broker Comment: $6,000 OF THE TOTAL SETTLEMENT WAS PAID BY MARC'S PRIOR FIRM, LEGACY FINANCIAL SERVICES. CLIENT FILED A COMPLAINT ALLEGING HE DID NOT UNDERSTAND THE TAX RAMIFICATIONS CONCERNING WITHDRAWS FROM HIS INVESTMENTS. CLIENT HAD BEEN PROVIDED AN EXPLANATION OF TAX ISSUES & WAS ALSO ADVISED TO CONTACT A TAX ADVISOR AS WELL.
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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