TERESA N PALMER

TERESA N PALMER is currently employed as a Broker and/or Investment Adviser at KMS FINANCIAL SERVICES, INC. located at 1320 S University Drive Suite 1012, Fort Worth, TX, 76107.

TERESA N PALMER has worked at KMS FINANCIAL SERVICES, INC. since November 02, 2016

Disclosure History

TERESA N PALMER has 3 Disclosure Event(s).

Date: September 06, 2012
Category: Customer Dispute
Allegations: THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATION FROM SEPTEMBER 2007 TO DECEMBER 2008.
Damage Amount Requested: $25,000.00

Date: June 14, 2010
Category: Customer Dispute
Allegations: THE CUSTOMER ALLEGES UNSUITABLE RECOMMENDATION AND OMMISSIONS OF MATERIAL FACT REGARDING THE ACCOUNT FEES. COMPENSATORY DAMAGES ARE NOT SPECIFIED.

Date: September 01, 2005
Category: Customer Dispute
Allegations: CLIENT ALLEGES HE WAS NOT GIVEN FULL DISCLOSURE REGARDING THE VARIABLE NATURE OF THE ANNUITIES HE PURCHASED. ONCE HE DECIDED TO EXCHANGE THEM FOR AN ANOTHER PRODUCT, HE ALLEGES HIS MERRILL LYNCH REGISTERED REPRESENTATIVE DELAYED THE PROCESSING OF HIS TRANSACTION.NO SPECIFIC DAMAGES ALLEGED.
Broker Comment: THE CLIENT'S ALLEGATIONS WERE FOUND TO BE WITHOUT MERIT AND THE COMPLAINT WAS DENIED.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

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

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