SUSAN LORRAINE TATE is currently employed as a Broker and/or Investment Adviser at CAMBRIDGE INVESTMENT RESEARCH, INC. located at 1066 STORRS RD, STE A, STORRS, CT, 06268.
SUSAN LORRAINE TATE has worked at CAMBRIDGE INVESTMENT RESEARCH, INC. since September 30, 2011
Disclosure History
SUSAN LORRAINE TATE has 2 Disclosure Event(s).
Date: October 15, 2014 Category: Customer Dispute Allegations: CLIENT ALLEGES SHE INSTRUCTED REP TO PLACE ACCOUNT IN A VARIABLE ANNUITY FIXED INVESTMENT. INVESTMENTS WERE INSTEAD PLACED INTO VARIABLE SUB-ACCOUNTS WITHIN THE ANNUTY, THIS RESULTED IN A LOSS Damage Amount Requested: $11,000.00 Settlement Amount: $10,951.98 Broker Comment: RR STATES THIS IS A RESULT OF A CLERICAL ERROR THAT OCCURRED WHEN A CLIENT'S INVESTMENT WAS DEPOSITED INTO THE INCORRECT SUB ACCOUNT WITHIN A VARIABLE ANNUITY. RR STATES THE CLIENT IS HAPPY WITH THE RESOLUTION.
Date: November 02, 2009 Category: Customer Dispute Allegations: CUSTOMER ALLEGED THE REPRESENTATIVE MISREPRESENTED THE VARIABLE ANNUITY PURCHASED IN NOVEMBER 2007, APPROXIMATELY. Damage Amount Requested: $6,000.00
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