PATRICK DANE MILLER

PATRICK DANE MILLER is currently employed as a Broker and/or Investment Adviser at NYLIFE SECURITIES LLC located at 801 N. BRAND BLVD., 14TH FLOOR, GLENDALE, CA, 91203.

PATRICK DANE MILLER has worked at NYLIFE SECURITIES LLC since September 12, 1983

Disclosure History

PATRICK DANE MILLER has 2 Disclosure Event(s).

Date: May 15, 2006
Category: Customer Dispute
Allegations: WITH REGARD TO THE PURCHASE OF A VARIABLE ANNUITY ON OR ABOUT APRIL 2000, THE CUSTOMER ALLEGES THE POLICY WAS NOT SUITABLE FOR HIM AT THE AGE OF 79 WHEN HE PURCHASED THE ANNUITY. THE CUSTOMER ALSO COMPLAINED THAT HE LOST ALOT OF MONEY FROM HIS INVESTMENT.
Damage Amount Requested: $31,571.00
Settlement Amount: $29,911.90

Date: July 20, 1999
Category: Customer Dispute
Allegations: CLIENT ALLEGES THAT THE SALE OF A VARIABLE ANNUITY "FOR IT'S TAX DEFERMENT BENEFITS, WHEN IN FACT (HE) ALREADY HAD ALL THE FUNDS IN A IRA STATUS" WAS NOT SUITABLE. CLIENT REQUESTS THE SURRENDER OF THE VARIABLE ANNUITY WAIVING ANY SURRENDER CHARGES OR PENALTIES.
Damage Amount Requested: $35,934.82
Broker Comment: UPON REVIEW OF POLICY RECORDS, THE COMPANY DID NOT FIND SUFFICIENT EVIDENCE TO SUPPORT THE CLIENTS CLAIMS. NO COMPENSATORY OFFER WAS EXTENDED TO THE CLIENT.

More Information

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