RYAN HENRY NIETERT is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 820 W. Jackson Blvd, Suite 805, Chicago, IL, 60607.
RYAN HENRY NIETERT has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since December 03, 2012
RYAN HENRY NIETERT has 1 Disclosure Event(s).
Date: December 29, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT FUNDS TRANSFERRED FROM A PACIFIC LIFE ANNUITY AND MUTUAL FUNDS IN UBS ACCOUNT WERE TRANSFERRED INTO A GUARDIAN ANNUITY AND PAS BROKERAGE ACCOUNT WITHOUT HER INPUT OR KNOWLEDGE. Damage Amount Requested: $5,000.00 Broker Comment: THE DOCUMENTATION TO TRANSFER THE PACIFIC LIFE VARIABLE ANNUITY TO THE GUARDIAN INSURANCE AND ANNUITY COMPANY (GIAC) WAS COMPLETED AND SIGNED BY THE CLIENT. THE DOCUMENTATION TO TRANSFER THE UBS MUTUAL FUND ACCOUNT TO PARK AVENUE SECURITIES (PAS) WAS COMPLETED AND SIGNED BY THE CLIENT. A GIAC PROSPECTUS AND PAS BROKERAGE ACCOUNT INFORMATION WERE PROVIDED TO THE CLIENT AT THE TIME THE DOCUMENTATION WAS COMPLETED AND SIGNED. THE CLIENT UTILIZED THE "FREE-LOOK" PROVISION ON THE GIAC VARIABLE ANNUITY AND RECEIVED BACK 100% OF THE AMOUNT INVESTED. THERE WAS NO TRADING DONE IN THE MUTUAL FUND ACCOUNT WHILE AT PARK AVENUE SECURITIES. THE CLIENT REQUESTED THE ACCOUNT BE LIQUIDATED. THERE WAS A GAIN ON THE MUTUAL FUND ACCOUNT OF APPROXIMATELY $4000. MY BROKER/DEALER, PARK AVENUE SECURITIES LLC, FOUND NO EVIDENCE OF UNAUTHORIZED TRADING. THIS COMPLAINT WAS WITHOUT MERIT AND THE TRANSACTIONS WERE EXECUTED ACCORDING TO FINRA AND OUR BROKER/DEALER RULES WITH THE CLIENT'S SIGNATURES IN ALL APPROPRIATE PLACES AS REQUIRED. THERE WAS NO WRONG-DOING ON MY PART. I AM ACKNOWLEDGING THIS COMPLAINT ONLY BECAUSE I AM REQUIRED TO BY FINRA REGULATIONS. ANY ALLEGATIONS OR COMPLAINTS MADE BY AN INDIVIDUAL ABOUT A REGISTERED REPRESENTATIVE ARE REQUIRED TO MAKE NOTE OF IT, REGARDLESS IF THE CLAIM IS FRIVOLOUS OR IF THE REGISTERED REPRESENTATIVE IS DEEMED TO BE IN THE WRONG OR NOT.
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