STEPHEN SERCHEOW KOH is currently employed as a Broker and/or Investment Adviser at MML INVESTORS SERVICES, LLC located at 2201 WALNUT AVE, STE 140, FREMONT, CA, 94538.
STEPHEN SERCHEOW KOH has worked at MML INVESTORS SERVICES, LLC since May 21, 2007
Disclosure History
STEPHEN SERCHEOW KOH has 2 Disclosure Event(s).
Date: August 14, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGES THE AGENT MADE MISREPRESENTATIONS DURING THE SALE OF VARIABLE LIFE INSURANCE POLICES AND FAILED TO DISCLOSE SURRENDER CHARGES. CLIENT REQUESTED THE REINSTATEMENT OF HIS ORIGINAL TRADITIONAL LIFE INSURANCE POLICES AND THE RETURN OF ALL CASH VALUES TO THE LEVEL PRIOR TO THEIR EXCHANGE INOT VARIABLE LIFE INSURANCE POLICIES. CLIENT ALSO REQUESTED THAT ALL PREMIUMS PAID INTO THE NEW POLICIES BE APPLIED TO THE ORIGINAL POLICIES AND THAT SURRENDER CHARGES BE WAIVED. DAMAGES ARE UNSPECIFIED. Settlement Amount: $98,287.11 Broker Comment: THE FIRM AGREED TO CANCEL THE CURRENT POLICIES AS IF THEY WERE NEVER ISSUED AND RESTORE THE ORIGINAL POLICIES. THIS RESULTED IN A LOSS OF $98,287.11.
Date: January 09, 2003 Category: Customer Dispute Allegations: CLIENT ALLEGES THE AGENT ADVISED HER TO EXCHANGE FOUR TRADITIONAL LIFE INSURANCE POLICIES FOR VARIABLE LIFE INSURANCE POLICIES BASED ON THE REPRESENTATIONS THAT ADDITIONAL PREMIUM PAYMENTS WOULD BE NECESSARY IF THE CLIENT MADE A LUMP SUM PAYMENT OF $14,529.95. CLIENT FURTHER ALLEGES HER FAMILY DID NOT NEED THE INCREASED INSURANCE COVERAGE. CLIENT REQUESTED THAT HER POLICIES BE REVERTED BACK TO TRADITIONAL INSURANCE POLICIES. DAMAGES ARE UNSPECIFIED. Broker Comment: EQUITABLE FOUND NO BASIS TO THE CUSTOMER COMPLAINT.
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