RICKARD BRENT GOETZ is currently employed as a Broker and/or Investment Adviser at PRUCO SECURITIES, LLC. located at 224 WILSHIRE, COLONA, IL, 61241.
RICKARD BRENT GOETZ has worked at PRUCO SECURITIES, LLC. since September 12, 1983
Disclosure History
RICKARD BRENT GOETZ has 2 Disclosure Event(s).
Date: October 05, 2016 Category: Customer Dispute Allegations: THE CLIENT ALLEGES THAT REPRESENTATIVE DID NOT FULLY DISCLOSE ALL THE FACTS REGARDING CHARGES, EXPENSES AND FEES
Date: October 09, 2009 Category: Customer Dispute Allegations: THE CLIENT ALLEGES MISREPRESENTATION CONCERNING INVESTMENT OBJECTIVES AND THE FAILURE TO DISCLOSE TAX CONSQUENCES RELATING TO MUTUAL FUNDS. Broker Comment: THIS CONCERNS A POLICY INCLUDED IN THE CLASS OF POLICIES THAT WAS THE SUBJECT OF A NATIONWIDE CLASS ACTION SETTLEMENT IN WHICH PRUDENTIAL, ITS INSURANCE AFFILIATES AND PERSONNEL WERE RELEASED CONCERNING LIFE INSURANCE SALES PRACTICES. THE CLASS ACTION SETTLEMENT REMEDIATION PROCESSES FOR ADDRESSING CLAIMS FOR POLICIES INCLUDED IN THE CLASS HAVE CONCLUDED. BECAUSE THE COMPANY AND THE REPRESENTATIVE(S) WERE RELEASED FROM ANY FURTHER LIABILITY OR OBLIGATION WITH RESPECT TO CLAIMS LIKE THOSE MADE BY THE POLICYHOLDER, THE COMPANY IS NOT REVIEWING THIS INQUIRY AND IS MAKING NO FINDING OR FURTHER FILING REGARDING THIS INQUIRY.
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