MICHAEL ANTHONY MILLARD

MICHAEL ANTHONY MILLARD is currently employed as a Broker and/or Investment Adviser at VERITAS INDEPENDENT PARTNERS, LLC located at 2201 WASHINGTON AVE, STE 2, CONWAY, AR, 72032.

MICHAEL ANTHONY MILLARD has worked at VERITAS INDEPENDENT PARTNERS, LLC since November 03, 2017

Disclosure History

MICHAEL ANTHONY MILLARD has 1 Disclosure Event(s).

Date: September 02, 2016
Category: Employment Separation After Allegations
Firm Name: BANCWEST INVESTMENT SERVICES INC.
Termination Type: Discharged
Allegations: FIRM DETERMINED THAT REPRESENTATIVE ACTED IN A MANNER INCONSISTENT WITH FIRM POLICIES AND PROCEDURES BY FAILING TO SUBMIT BUSINESS IN A TIMELY MANNER.
Broker Comment: The case was a complicated rollover into a single premium deferred annuity (fixed annuity). The funds were transferred from a SPDA with another insurance company via 1035 exchange, direct transfer. BancWest Investment Services contacted the receiving insurance company and confirmed that I had followed up with several telephone conversations and submitted appropriate paperwork. BancWest Investment Services told me in a telephone conversation they felt the transaction took longer than they felt it should have. This was told to me after the process had been completed, I had delivered the new contract and forwarded the delivery certificate to the insurance company that issued the new single premium deferred annuity contract. No complaint was filed by the client

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 ANTHONY MILLARD, click here.

The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.