RONALD H SHORT is currently employed as a Broker and/or Investment Adviser at RBC CAPITAL MARKETS, LLC located at 6301 UPTOWN BLVD NE, SUITE 100, ALBUQUERQUE, NM, 87110-4132.
RONALD H SHORT has worked at RBC CAPITAL MARKETS, LLC since June 15, 2001
Disclosure History
RONALD H SHORT has 1 Disclosure Event(s).
Date: April 19, 2005 Category: Customer Dispute Allegations: CLIENT CLAIMS THAT WHEN HE PURCHASED THE SCUDDER GATEWAY PLUS VA IN 11/99 HIS FA TOLD HIM THAT IT WAS "NO RISK". THE ANNUITY WAS PURCHASED FOR $50,000 WITH A $2,000 BONUS ADDED BY ANNUITY COMPANY. VALUE IS DOWN BY $17, 163.97. CLIENT ALSO CLAIMS THAT HE ASKED FOR A LIVING BENEFIT RIDER AND DIDN'T RECEIVE IT. HIS CLAIM IS FOR THE 5% HIS POLICY WOULD HAVE EARNED ANNUALLY WITH A LIVING BENEFIT RIDER IF HE ANNUITIZED THE CONTRACT PLUS CURRENT SURRENDER FEES. TOTAL CLAIM IS $39,830.05. Damage Amount Requested: $39,830.05 Broker Comment: THERE IS NO EVIDENCE THAT THE CLIENT SELECTED THE MGAP RIDER WHEN VARIABLE ANNUITY POLICY WAS INITIALLY PURCHASED, NOR DID HE EVER ASK TO HAVE IT ADDED TO HIS POLICY. IN ADDITION, THERE IS NO EVIDENCE TO SUPPORT THE CLIENT'S CLAIM THAT THE PRODUCT WAS MISREPRESENTED IN ANY WAY. THE CLIENT'S CLAIM OF WRONGDOING AND DEMAND FOR REMUNERATION WERE DENIED IN THEIR ENTIRETY.
More Information
All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.
A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.
BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.
To view the full report for RONALD H SHORT, click here.
The use of BrokerCheck data is subject to the BrokerCheck Terms of Use.
×
Outdated Information
If you discover any errors or outdated information on this Website, please contact us and we will promptly correct such errors or outdated information.
If BrokerCheck® is the source of such errors or outdated information, please contact FINRA at (301) 590-6500.
×
BrokerSearch Removal
Brokersearch.info will not fully remove items from this Website without an applicable court order designating them for removal. Investors rely on the information available on this Website to decide whether to choose or retain a broker or investment adviser.
Upon written request, we may remove certain page(s) from appearing in search engine results using the robots.txt protocol.
When a person searches for your name using Google, Bing, Yahoo! and other search engines the page(s) from Brokersearch.info would not appear in the search results.
Please contact us to learn more about Search Engine Removal.