ROBERT LEONARD PETHTAL is currently employed as a Broker and/or Investment Adviser at NYLIFE SECURITIES LLC located at 11350 RANDOM HILLS ROAD, SUITE 350, FAIRFAX, VA, 22030.
ROBERT LEONARD PETHTAL has worked at NYLIFE SECURITIES LLC since October 28, 1982
Disclosure History
ROBERT LEONARD PETHTAL has 1 Disclosure Event(s).
Date: May 21, 2003 Category: Customer Dispute Allegations: WITH REGARD TO THE PURCHASE OF A VARIABLE LIFE INSURANCE POLICY IN SEPTEMBER OF 2000, CUSTOMER ALLEGES THAT THE ILLUSTRATIONS PROVIDED WERE UNREALISTIC AND INDUCED HIM TO PURCHASE THE POLICY. CUSTOMER ALSO ACKNOWLEDGED THAT THE ILLUSTRATIONS CONTAINED THE APPROPRIATE DISCLAIMERS. CUSTOMER HAS REQUESTED A FULL REFUND OF ALL FUNDS INVESTED WITHOUT ANY DEDUCTIONS OR OFFSETS. Damage Amount Requested: $19,450.00 Broker Comment: UPON REVIEW OF THE POLICY RECORDS AND DATA, THE COMPANY DID NOT FIND SUFFICIENT EVIDENCE TO SUPPORT THE CUSTOMER'S ALLEGATIONS. NO OFFER OF COMPENSATION HAS BEEN MADE TO THE CUSTOMER.
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