ROBERT DAVID SIMPSON is currently employed as a Broker and/or Investment Adviser at PRUCO SECURITIES, LLC. located at 93 BAYBRIDGE PARK, GULF BREEZE, FL, 32561.
ROBERT DAVID SIMPSON has worked at PRUCO SECURITIES, LLC. since September 08, 1986
Disclosure History
ROBERT DAVID SIMPSON has 5 Disclosure Event(s).
Date: August 20, 2015 Category: Customer Dispute Allegations: RECEIVED SETTLEMENT FOR CASE INITIALLY THERE WERE NO CUSTOMER SALES PRACTICE ALLEGATIONS. Settlement Amount: $29,954.89
Date: July 08, 2011 Category: Customer Dispute Allegations: THE CUSTOMER, WHO ELECTED A LIVING BENEFIT INCOME RIDER TO HIS VARIABLE ANNUITY CONTRACT, ALLEGED THAT NEITHER THE REPRESENTATIVE NOR THE FIRM EXPLAINED THE OPERATION OF THE RIDER TO HIM IN ITS ENTIRETY. THE PARTIES DISPUTE THE ADEQUACY OF THE DISCLOSURE PROVIDED. HOWEVER, THE FIRM RESOLVED THE COMPLAINT WITH THE CUSTOMER. THE REPRESENTATIVE WILL NOT CONTRIBUTE TO THE SETTLEMENT. Settlement Amount: $78,261.48
Date: July 07, 2011 Category: Customer Dispute Allegations: THE CUSTOMER, WHO ELECTED A LIVING BENEFIT INCOME RIDER TO HIS VARIABLE ANNUITY CONTRACT, ALLEGED THAT NEITHER THE REPRESENTATIVE NOR THE FIRM EXPLAINED THE OPERATION OF THE RIDER TO HIM IN ITS ENTIRETY. THE PARTIES DISPUTE THE ADEQUACY OF THE DISCLOSURE PROVIDED. HOWEVER, THE FIRM RESOLVED THE COMPLAINT WITH THE CUSTOMER. THE REPRESENTATIVE WILL NOT CONTRIBUTE TO THE SETTLEMENT. Settlement Amount: $56,502.01
Date: June 14, 2011 Category: Customer Dispute Allegations: THE CUSTOMER, WHO ELECTED A LIVING BENEFIT INCOME RIDER TO HIS VARIABLE ANNUITY CONTRACT, ALLEGED THAT NEITHER THE REPRESENTATIVE NOR THE FIRM EXPLAINED THE OPERATION OF THE RIDER TO HIM IN ITS ENTIRETY. THE PARTIES DISPUTE THE ADEQUACY OF THE DISCLOSURE PROVIDED. HOWEVER, THE FIRM RESOLVED THE COMPLAINT WITH THE CUSTOMER. THE REPRESENTATIVE WILL NOT CONTRIBUTE TO THE SETTLEMENT. Settlement Amount: $114,436.23
Date: April 26, 2010 Category: Customer Dispute Allegations: WITH RESPECT TO 3 VARIABLE ANNUITY CONTRACTS PURCHASED IN 2006 AND 2007, RESPECTIVELY, CUSTOMER ALLEGED THAT AN OPTIONAL FEATURE WHICH HE ELECTED IN 2009 WAS NOT THEN EXPLAINED TO HIM IN ITS ENTIRETY. Settlement Amount: $100,000.00 Broker Comment: THIS MATTER IS BEING REPORTED CONSISTENT WITH NASDR RULES PERTAINING TO THE REPORTING OF CERTAIN WRITTEN CUSTOMER COMPLAINTS. THE COMPANY BY THIS FILING MAKES NO ALLEGATIONS REGARDING THE ACTIONS OF THE REPRESENTATIVE.
More Information
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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
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