RICHARD BURL BAKER is currently employed as a Broker and/or Investment Adviser at TRANSAMERICA FINANCIAL ADVISORS, INC located at 5350 S. ROSLYN STREET, SUITE 240-A, GREENWOOD VILLAGE, CO, 80111.
RICHARD BURL BAKER has worked at TRANSAMERICA FINANCIAL ADVISORS, INC since November 29, 2012
Disclosure History
RICHARD BURL BAKER has 2 Disclosure Event(s).
Date: September 23, 2015 Category: Customer Dispute Allegations: TFA WAS FORWARDED A WRITTEN COMPLAINT BY THE PRODUCT SPONSOR. CLIENT SUBMITTED COMPLAINT TO THE BETTER BUSINESS BUREAU AGAINST JACKSON NATIONAL LIFE, HOWEVER, THE LETTER CONTAINED ALLEGATIONS OF MISREPRESENTATION IN CONNECTION WITH THE SALE OF THE POLICY. THE CLIENT HAS ALLEGED THAT THE GUARANTEED MINIMUM WITHDRAWAL BENEFITS (GMWB) ASSOCIATED WITH HIS CONTRACT WERE MISREPRESENTED TO HIM. Damage Amount Requested: $25,000.00
Date: March 11, 2010 Category: Financial Type: Bankruptcy Disposition: Discharged Broker Comment: PERSONAL BANKRUPTCY WAS REQUIRED TO EXTINGUISH DEBTS CREATED IN ACTION DESCRIBED IN REPLY TO QUESTION 14K1
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