SHARON LYNN SMITH is currently employed as a Broker and/or Investment Adviser at WELLS FARGO CLEARING SERVICES, LLC located at 1133 CONNECTICUT AVE NW 9TH FL, WASHINGTON, DC, 20036.
SHARON LYNN SMITH has worked at WELLS FARGO CLEARING SERVICES, LLC since October 01, 1999
Disclosure History
SHARON LYNN SMITH has 1 Disclosure Event(s).
Date: April 12, 2005 Category: Customer Dispute Allegations: MD CLIENT, WHO OPENED ACCOUNT IN MARCH 1999, IS UNHAPPY WITH THE PERFORMANCE OF HER PACIFIC LIFE VARIABLE ANNUITY PURCHASED ON AUGUST 31, 1999 AND STATES THAT THE PRODUCT WAS INAPPROPRIATE FOR HER FROM THE VERY BEGINNING. CLIENT ALLEGES THAT SHE LOST $23,501.00. Damage Amount Requested: $23,501.00 Broker Comment: DENIED BY FIRM. A THOROUGH REVIEW OF THE ANNUITY IN QUESTION SHOWS THAT IT WAS APPROPRIATE FOR THE CLIENT'S STATED FINANCIAL GOALS AND OBJECTIVES. THE ANNUITY, WHICH WAS PURCHASED ALMOST SIX YEARS PRIOR TO THE COMPLAINT, WAS TRANSFERRED TO ANOTHER MEMBER-BROKER SHORTLY AFTER PURCHASE. THE VALUE OF THE ANNUITY HAD INCREASED BY APPROXIMATELY $7,000 AT THE TIME OF TRANSFER.
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