SCOTT VERNON SPICKLER is currently employed as a Broker and/or Investment Adviser at NYLIFE SECURITIES LLC located at 3017 CLINTON DRIVE, SUITE 202, JUNEAU, AK, 99801-7110.
SCOTT VERNON SPICKLER has worked at NYLIFE SECURITIES LLC since October 14, 1985
Disclosure History
SCOTT VERNON SPICKLER has 1 Disclosure Event(s).
Date: February 21, 2002 Category: Customer Dispute Allegations: WITH REGARDS TO FOUR MUTUAL FUNDS PURCHASED IN AUGUST 1992, CUSTOMERS ALLEGE THAT I INFORMED THEM THAT TWO SIGNATURES WOULD BE REQUIRED IN ORDER TO WITHDRAW FUNDS FROM A CUSTODIAL ACCOUNT FOR ONE OF THE CUSTOMERS. CUSTOMERS CLAIM THAT THEIR EX-WIFE/MOTHER DEPLETED THE FUNDS IN THE ACCOUNT, EVENTUALLY CLOSING THE ACCOUNT WITHOUT A SECOND SIGNATURE WHILE THE CUSTOMER WAS STILL A MINOR. CUSTOMERS REQUEST A REFUND OF THE INITIAL INVESTMENT. Damage Amount Requested: $15,000.00 Broker Comment: UPON REVIEW OF POLICY RECORDS AND DATA, NEW YORK LIFE DID NOT FIND SUFFICIENT EVIDENCE TO SUPPORT THE CUSTOMER'S CLAIMS. NO OFFER OF COMPENSATION HAS BEEN MADE TO THE CUSTOMER.
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