RAYMOND JOSEPH DULING is currently employed as a Broker and/or Investment Adviser at GARDNER FINANCIAL SERVICES, INC. located at 122 MAIN STREET, GREGORY, SD, 57533.
RAYMOND JOSEPH DULING has worked at GARDNER FINANCIAL SERVICES, INC. since January 12, 2011
Disclosure History
RAYMOND JOSEPH DULING has 2 Disclosure Event(s).
Date: July 03, 2007 Category: Customer Dispute Allegations: PLANTIFF ALLEGES THAT AMERIPRISE AND HER ADVISOR FAILED TO DISBURSE THE PROCEEDS SHE RECEIVED FROM A PRIOR SETTLEMENT IN CONFORMANCE WITH THE TERMS OF A COURT ORDER DATED 12/7/98. Settlement Amount: $20,000.00 Broker Comment: THIS WAS AN UGMA ACCOUNT SET UP BY THE ATTORNEY FOR THE CLIENT AND DESIGNATED THE MOTHER AS CUSTODIAN. THE CUSTODIAN WAS TAKING FUNDS AND USING IT FOR HER OWN BENEFIT. THE REP HAD CALLED THE ATTORNEY FOR THE APPROVAL TO LIQUIDATE THE ACCOUNT.
Date: April 19, 2001 Category: Employment Separation After Allegations Firm Name: AMERICAN EXPRESS FINANCIAL ADVISORS Termination Type: Discharged Allegations: NON DELIVERY OF ANNUITY CONTRACTS Broker Comment: CLIENT ENTERED INTO 4 ANNUITY CONTRACTS IN 1998. THERE WAS A PROBLEM IN DELIVERING THE CONTRACTS. ACCOUNTS WENT DOWN IN VALUE, CLIENT DID NOT WANT CONTRACT. CLIENT WAS THEN PAID IN FULL. I WAS SEPERATED FROM EMPLOYMENT.
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