RICHARD HENRY LALIKER is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 1499 S HARBOR CITY BLVD STE 400, MELBOURNE, FL, 32901.
RICHARD HENRY LALIKER has worked at WELLS FARGO CLEARING SERVICES, LLC since January 01, 2008
Disclosure History
RICHARD HENRY LALIKER has 1 Disclosure Event(s).
Date: December 26, 2008 Category: Customer Dispute Allegations: CLIENT STATES THEY TOLD FA THEY DID NOT WANT AN ANNUITY TIED TO THE MARKET AND THEY BELIEVED THEY BOUGHT A 6% FIXED CONTRACT. CLAIM AMOUNT NOT SPECIFIED BUT BELIEVED TO EXCEED $5,000 (04/29/2008) Broker Comment: CLIENTS BELIEVE THE MARKET FLUCATION OF THEIR ANNUITIES IS A LOSS. HOWEVER, BOTH CONTRACTS HAVE RIDERS THAT GUARANTEE THEY WILL RECEIVE NO LESS THAN THEIR PURCHASE AMOUNTS AT 10 YEARS OR INCOME FOR LIFE OR AS A DEATH BENEFIT. THE ONLY WAY THE LOSS WILL BECOME REALIZED IS IF THEY DECIDE TO SURRENDER THE CONTRACTS. CLIENT FULLY UNDERSTOOD CONTRACT WAS MARKET ORIENTED. FULL RESPONSE GIVEN TO STATE OF FLORIDA INSURANCE DEPARTMENT.
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