ROBERT JAMES CAPLINGER is currently employed as a Broker and/or Investment Adviser at THURSTON SPRINGER FINANCIAL located at 35 Executive Drive, Suite 2, Lafayette, IN, 47905.
ROBERT JAMES CAPLINGER has worked at THURSTON SPRINGER FINANCIAL since January 21, 2016
Disclosure History
ROBERT JAMES CAPLINGER has 1 Disclosure Event(s).
Date: November 15, 2006 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT CAPLINGER SOLD HIM A VUL POLICY THAT DID NOT NEED THE CLIENT'S NEEDS Damage Amount Requested: $5,000.00 Broker Comment: AFTER RECEIPT OF A DISLCOUSRE REVIEW LETTER FROM FINRA, THE REP AND WRP CONTACTED THE SSTATE OF INDIANA FOR AN UPDATE OF THE COMPLAINT. WRP AND THE REP RECEIVED A LETTER DATED 9/18/08 FROM THE STATE OF INDIANA ACKNOWLEDGING THAT THE CUSTOMER COMPLAINT WAS CLOSED WITHOUT ACTION IN FEBRUARY 2008, BUT THEY FAILED TO NOTIFY EITHER THE REP OR WRP INVESTMENTS OF THEIR FINDINGS.
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