MICHAEL EDWARD HALLA is currently employed as a Broker and/or Investment Adviser at TCFG WEALTH MANAGEMENT, LLC located at 10323 Deerpark Drive, MISSOURI CITY, TX, 77459.
MICHAEL EDWARD HALLA has worked at TCFG WEALTH MANAGEMENT, LLC since December 19, 2017
Disclosure History
MICHAEL EDWARD HALLA has 6 Disclosure Event(s).
Date: May 31, 2017 Category: Customer Dispute Allegations: CLIENT CLAIMS THE REPRESENTATIVE DID NOT PROVIDE ACCURATE PAYOUT FOR ANNUITY INHERITANCE, CAUSING A LARGE TAX LIABILITY. Settlement Amount: $21,688.00
Date: April 16, 2015 Category: Regulatory
Date: June 21, 2012 Category: Employment Separation After Allegations Firm Name: AMERIPRISE FINANCIAL SERVICES, INC. Termination Type: Permitted to Resign Allegations: ADVISOR PERMITTED TO RESIGN AFTER BEING SUSPENDED FOR COMPANY POLICY VIOLATIONS RELATED TO SHORT TERM TRADING ACTIVITY OF SYNDICATE OFFERINGS, TIME AND PRICE DISCRETION AND UNAUTHORIZED TRADING.
Date: April 09, 2012 Category: Customer Dispute Allegations: THE CLIENT ALLEGED THAT THE SALE OF BBN AND SUBSEQUENT PURCHASE OF WBBBX AND DPG IN JULY 2011 WERE UNAUTHORIZED. Damage Amount Requested: $13,998.00 Settlement Amount: $6,414.38 Broker Comment: I DID NOT PARTICIPATE IN THE SETTLEMENT AWARD AND I DO NOT AGREE WITH THE SETTLEMENT. I DID NOT USE DISCRETION. THE CLIENT GAVE APPROVAL AND DID MAKE A PROFIT ON THIS INVESTMENT.
Date: March 21, 2011 Category: Customer Dispute Allegations: CLIENTS ALLEGED THEY WERE NOT PROVIDED WITH FULL DISCLOSURE REGARDING AN ANNUITY PURCHASED IN JANUARY 2008. Damage Amount Requested: $6,961.00
Date: December 17, 2001 Category: Customer Dispute Allegations: THE CLIENTS ALLEGED THAT I DID NOT DISLCOSE THE PREMIUM FEES ASSOCIATED WITH THEIR LIFE INSURANCE POLICIES. Damage Amount Requested: $14,170.83 Broker Comment: THE FIRM FOUND I PROVIDED THE CLIENTS FULL AND FAIR DISCLOSURE OF THE SALES AND PREMIUM TAX CHARGES ASSESSED ON EACH OF THEIR INSURANCE POLICIES. THIS WAS EVIDENCED BY THEIR SIGNATURES ON THE APPLICAITONS AND REQUIRED DISCLOSURE FORMS. IN ADDITION, THEY ACKNOWLEDGED HAVING RECEIVED THE POLICY ILLUSTRATIONS AND POLICIES THEMSELVES. THE FIRM DECLINED THE CLIENTS' REQUEST FOR A REFUND OF THEIR PREMIUMS.
More Information
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