SHULEM WESTERMAN

SHULEM WESTERMAN is currently employed as a Broker and/or Investment Adviser at PRUCO SECURITIES, LLC. located at 15303 VENTURA BOULEVARD, SUITE 1550, SHERMAN OAKS, CA, 91403.

SHULEM WESTERMAN has worked at PRUCO SECURITIES, LLC. since October 21, 1986

Disclosure History

SHULEM WESTERMAN has 2 Disclosure Event(s).

Date: September 12, 2002
Category: Customer Dispute
Allegations: REGARDING THE 1988 PURCHASE OF A VARIABLE APPRECIABLE LIFE INSURANCE POLICY, THE CLIENT ALLEGES MISREPRESENTATION CONCERNING THE POLICY BEING PAID UP IN 13 YEARS. THE INSURED DID NOT ALLEGE ANY SPECIFIED DAMAGES, HOWEVER THE COMPANY'S GOOD FAITH DETERMINATION ESTIMATES THEM TO BE APPROXIMATELY $16520.96.
Damage Amount Requested: $16,520.96
Broker Comment: THE COMPANY TURN DOWN THE CLAIM.

Date: October 02, 2001
Category: Customer Dispute
Allegations: REGARDING THE PURCHASE OF SEVERAL MUTUAL FUNDS, THE CLIENT ALLEGED THAT THE AGENT CONVINCED HER TO BUY MUTUAL FUNDS THAT WERE TOO AGGRESSIVE AND COMPLETELY UNSUITALBE FOR HER CONSIDERING HER AGE. NO DAMAGES WERE ALLEGED AND THE COMPANY IS UNABLE TO DETERMINE THE COMPENSATORY DAMAGES.
Broker Comment: 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.

More Information

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BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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