STEVEN JAMES ANUSZEWSKI is currently employed as a Broker and/or Investment Adviser at L.O. THOMAS & CO. INC. located at 2106 NEW ROAD, STE. A-6, BOX 293, 2106 NEW ROAD, LINWOOD, NJ, 08221.
STEVEN JAMES ANUSZEWSKI has worked at L.O. THOMAS & CO. INC. since July 27, 2017
Disclosure History
STEVEN JAMES ANUSZEWSKI has 3 Disclosure Event(s).
Date: June 16, 2017 Category: Employment Separation After Allegations Firm Name: Voya Financial Advisors Termination Type: Discharged Allegations: Representative admitted to calling an investment provider and impersonating two customers.
Date: March 27, 2002 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT HE DID NOT WANT ANY VEHICLE OR FORM OF INSURANCE ATTACHED TO HIS INVESTMENT AND CONTRACT WAS NEVER DELIVERED. CUSTOMER REQUESTS REIMBURSEMENT OF ORIGINAL INVESTMENT AMOUNT OF $154,552.50. Broker Comment: GOLDEN AMERICAN INVESTIGATED CLIENTS COMPLAINT AND DETERMINED HE ASKNOWLEDGED THE EXISTENCE OF HIS ANNUITY.
Date: January 01, 1987 Category: Regulatory Initiated By: STATE OF NEW JERSEY DEPARMENT OF INSURANCE Allegations: SALES OF UNIVERSAL LIFE PRODUCTS WITHMISSTATEMENTS ON APPLICATIONS ABOUT DOMICILE AND SURRENDER OFOTHER LIFE PRODUCTS. Resolution: Consent SanctionDetails: Sanctions: Monetary/Fine SanctionDetails: Amount: $3,000.00 Sanction Details: CONSENT ORDER & PAYMENT OF $3,000 FINE. Broker Comment: FAILURE TO COMPLETE REPLACEMENT FORMS ON SALES IN1984. THE SALES OF UNIVERSAL LIFE POLICIES IN ANOTHER STATEBEFORE THE PRODUCT HAD CLEARED NEW JERSEY'S REVIEW AND APPROVALPROCESS. AT THE TIME THESE SALES WERE MADE UNIVERSAL LIFE HADJUST BEEN INTRODUCED BY FIDELITY UNION LIFE CO. AND THESE SALESPRODUCTS WERE MISTAKENLY BELIEVED TO BE ACCEPTABLE AND MADEWITH THE ENDORSEMENT OF THE INSURANCE COMPANY.
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