ROBERT LEE RAPHAEL is currently employed as a Broker and/or Investment Adviser at VOYA FINANCIAL ADVISORS, INC. located at 1400 ELBRIDGE PAYNE RD, STE 110, CHESTERFIELD, MO, 63017.
ROBERT LEE RAPHAEL has worked at VOYA FINANCIAL ADVISORS, INC. since September 26, 2007
Disclosure History
ROBERT LEE RAPHAEL has 2 Disclosure Event(s).
Date: October 04, 2002 Category: Customer Dispute Allegations: PREVIOUS FIRM COMPLAINT: CLIENT ALLEGES HE WAS MISLED BY THE AGENT REGARDING INVESTMENT RETURNS DURING THE SALE OF TWO 2001 ISSUE VARIABLE ANNUITY CONTRACTS. CLIENT REQUESTED COMPENSATION FOR HIS LOSS BUT DID NOT SPECIFY ANY AMOUNT OF DAMAGES. Broker Comment: PREVIOUS FIRM COMPLAINT: EQUITABLE FOUND NO BASIS TO THE CUSTOMER COMPLAINT.
Date: November 22, 1997 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT THE AGENT MISREPRESENTEDTO HIM THAT HIS 1979 POLICY WOULD BE ROLLED-OVER INTO A NEW1989 INSURANCE POLICY AND THAT BASED UPON THAT REPRESENTATION,THE CLIENT NEVER SENT PREMIUMS FOR THE 1979 POLICY. NOW HE HASBEEN INFORMED THAT HE HAS HAD TWO POLICIES IN FORCE AND THATTHE 1979 POLICY LAPSED IN 1994. Broker Comment: N/ATHE CASH VALUE FROM POLICY 29-066-057 WASTRANSFERED INTO THE NEW POLICY OVER A 2 YR. PERIOD AT THE RATEOF $600 PER YEAR. THE ONLY ERROR WAS NOT PROCESSING THE FORM TOCLOSE THE ORIGINAL POLICY. NO PREMIUMS SHOULD HAVE BEEN PAID ON29-066-057 SINCE THE INTENT WAS TO ELIMINATE IT.
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