MICHAEL JOHN BLOMBERG is currently employed as a Broker and/or Investment Adviser at WADDELL & REED located at 4200 LITTLE BLUE PARKWAY, SUITE 400, INDEPENDENCE, MO, 64057.
MICHAEL JOHN BLOMBERG has worked at WADDELL & REED since April 23, 1986
Disclosure History
MICHAEL JOHN BLOMBERG has 1 Disclosure Event(s).
Date: March 04, 2014 Category: Customer Dispute Allegations: CLIENT ALLEGED NEGLIGENCE BY REPRESENTATIVE IN NOT PROTECTING THE CLIENT'S FINANCIAL INTERESTS BY FAILING TO CORRECTLY REPRESENT A DEATH BENEFIT RIDER ASSOCIATED WITH A UILIC WHOLE LIFE INSURANCE POLICY PURCHASED IN 1997. Damage Amount Requested: $748,295.00 Settlement Amount: $169,756.00 Broker Comment: THIS CLIENT AND HIS EXTENDED FAMILY MEMBERS REMAIN VALUED, ACTIVE CLIENTS AND CONTINUE TO WORK WITH ME AS THEIR TRUSTED ADVISOR.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
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.
To view the full report for MICHAEL JOHN BLOMBERG, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.