MICHAEL C ROSS

MICHAEL C ROSS is currently employed as a Broker and/or Investment Adviser at KEY INVESTMENT SERVICES LLC located at 135 Main Street, Freeport, ME, 04032.

MICHAEL C ROSS has worked at KEY INVESTMENT SERVICES LLC since November 25, 2015

Disclosure History

MICHAEL C ROSS has 1 Disclosure Event(s).

Date: January 21, 2015
Category: Customer Dispute
Allegations: CUSTOMERS ALLEGED THE ADVISOR MISREPRESENTED THE VARIABLE ANNUITY PURCHASED IN JANUARY 2014. CUSTOMERS HAVE ALLEGED DAMAGES FOR THE WAIVER OF SURRENDER PENALTIES AS NOTED BELOW.
Damage Amount Requested: $5,430.00

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.

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