ROBERT DELPHIS SOULIERE is currently employed as a Broker and/or Investment Adviser at PRUCO SECURITIES, LLC. located at 115 COUTURE FLATS, LYNDONVILLE, VT, 05851.
ROBERT DELPHIS SOULIERE has worked at PRUCO SECURITIES, LLC. since March 03, 1983
Disclosure History
ROBERT DELPHIS SOULIERE has 2 Disclosure Event(s).
Date: December 13, 2005 Category: Customer Dispute Allegations: REGARDING THE 9/1/1994 PURCHASE OF A VARIABLE APPRECIABLE LIFE INSURANCE POLICY, THE CLIENT ALLEGED MISREPRESENTATION AT POINT OF SALE. THIS MATTER IS BEING REPORTED BECAUSE THE COMPLAINT HAS ALLEGED NO DOLLAR AMOUNT AND THE FIRM HAS NOT MADE A GOOD FAITH DETERMINATION THAT THE DAMAGES FROM THE ALLEGED CONDUCT WOULD BE LESS THAN $5,000. 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.
Date: December 30, 1999 Category: Customer Dispute Allegations: REGARDING THE MUTUAL FUND PURCHASE, THE CLIENT ALLEGED MISREPRESENTATION CONCERNING THE TAX CONSQUENCES ASSOCIATED WITH THE ROLLOVER FROM THE ANNUITY CONTRACT. Damage Amount Requested: $7,543.00 Settlement Amount: $8,874.34 Broker Comment: THE COMPANY AGREED TO REIMBURSE THE CLIENT FOR THE TAX PENALTIES AND INTEREST INCURRED DUE TO THE WITHDRAWAL TAKEN FROM THE ONE CONTRACT TO PURCHASE THE MUTUAL FUND ACCOUNT.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.23I(1)(A) WAS ANSWERED IN ERROR WITH THE ORIGINAL FILING AS WE ARE ONLY REPORTING FOR ALLEGATIONS.
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