MATTHEW JAMES PULSIPHER

MATTHEW JAMES PULSIPHER is currently employed as a Broker and/or Investment Adviser at CETERA ADVISORS LLC located at 915 BROADWAY ST STE 450, VANCOUVER, WA, 98660.

MATTHEW JAMES PULSIPHER has worked at CETERA ADVISORS LLC since February 28, 2012

Disclosure History

MATTHEW JAMES PULSIPHER has 1 Disclosure Event(s).

Date: December 04, 2009
Category: Customer Dispute
Allegations: IN SEPTEMBER 2009 THE CLIENT SUBMITTED A COMPLAINT, THROUGH THE SEC TO BANK OF AMERICA INVESTMENT SERVICES, REGARDING A VA PURCHASE MADE IN JANUARY 2008. THE CLIENT ALLEGES MISREPRESENTATION FROM JANUARY 2008 TO APRIL 2008. THE VA PRODUCT PURCHASED, WHEN ISSUED, DID NOT INCLUDE THE INCOME BENEFIT RIDER THAT HAD BEEN DISCUSSED IN THE SALES PROCESS. THAT PARTICULAR INCOME BENEFIT RIDER TURNED OUT NOT TO BE AVAILABLE IN THE CLIENT STATE OF RESIDENCE. THE CLIENT COMPLAINT CONTAINED A DEMAND FOR HIS MONEY BACK AND REFERENCED THE APPROXIMATE UNREALIZED MARKET LOSS HE HAD INCURRED AT THAT POINT OF $31,000. THE CLIENT CLAIM WAS DENIED BY BANK OF AMERICA IN DECEMBER 2009.

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