PAUL EUGENE GUSTAFSON is currently employed as a Broker and/or Investment Adviser at VOYA FINANCIAL ADVISORS, INC. located at 2360 NOWATA PLACE, STE B, BARTLESVILLE, OK, 74006.
PAUL EUGENE GUSTAFSON has worked at VOYA FINANCIAL ADVISORS, INC. since July 29, 1996
Disclosure History
PAUL EUGENE GUSTAFSON has 2 Disclosure Event(s).
Date: July 19, 2012 Category: Customer Dispute Allegations: CLIENT ALLEGES REGISTERED REPRESENTATIVE MISMANAGED HIS INVESTMENTS WITH A BLATANT DISREGARD FOR HIS ACCOUNTS AND HIS FAILURE TO LISTEN TO NUMEROUS REQUESTS TO MANGAGE HIS ACCOUNTS MORE CONSERVATIVELY. Broker Comment: THE FIRM INVESTIGATED THE CLIENT'S CONCERNS AND FOUND THEM TO BE WITHOUT MERIT.
Date: December 29, 2008 Category: Customer Dispute Allegations: CLIENT PURCHASED A VARIABLE ANNUITY FROM THE REPRESENTATIVE THAT INCLUDED A DEATH BENEFIT THAT GREW UNTIL HE REACHED AGE 85, AT WHICH TIME IT REVERTED TO THE GREATER OF CURRENT INVESTMENT VALUE OR HIS ORIGINAL INVESTMENT AMOUNT. CLIENT CLAIMS HE WOULD NOT HAVE PURCHASED THE PRODUCT HAD HE KNOWN THE BENEFIT WOULD REVERT AT AGE 85. Broker Comment: THIS MATTER IS BEING REPORTED BECAUSE, ALTHOUGH THE COMPLAINANT HAS ALLEGED NO DOLLAR AMOUNT, THE FIRM CANNOT MAKE A GOOD FAITH DETERMINATION THAT DAMAGES FROM THE ALLEGED CONDUCT WOULD BE LESS THAN $5,000.
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 PAUL EUGENE GUSTAFSON, 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Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.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.