TERRY WARREN DOBSON is currently employed as a Broker and/or Investment Adviser at AXA ADVISORS, LLC located at 3820 CLEVELAND AVE N, SUITE 650, ARDEN HILLS, MN, 55112.
TERRY WARREN DOBSON has worked at AXA ADVISORS, LLC since October 20, 1980
TERRY WARREN DOBSON has 1 Disclosure Event(s).
Date: January 09, 2007 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT HIS AGENT TRANSFERRED HIS ORIGINAL CONTRACT TO A NEW CONTRACT IN 2004 WHICH EFFECTED HIS SURRENDER PERIOD. CLIENT ALLEGES HE HAS LEARNED THAT THE SURRENDER PERIOD STARTS OVER AND IT IS BASED ON THE FULL AMOUNT OF WHAT IS IN THE ACCOUNT NOT JUST THE LAST SIX YEARS OF DEPOSITS. CLIENT ALLEGES THAT BEFORE HE SIGNED ANY NEW DOCUMENTS, HE MADE IT CLEAR TO THE AGENT IF THIS WOULD EFFECT HIS SURRENDER PERIOD AND THE AGENT AGREED IT WOULD NOT. CLIENT IS REQUESTING THAT THE FIRM REFUND HIM THE CONTINGENT WITHDRAWAL CHARGES ASSESSED ON HIS CONTRACT. Damage Amount Requested: $5,189.77 Broker Comment: ON FEBRUARY 13, 2007, IN THE INTEREST OF GOOD CLIENT RELATIONS, THE FIRM OFFERED TO REINSTATE THE ANNUITY CONTRACT INCLUDING THE CONTINGENT WITHDRAWAL CHARGE WE DEDUCTED, PENDING THE FIRM'S RECEIPT OF FUNDS RETURNED FROM WELLS FARGO. IN ORDER FOR THE CUSTOMER TO HAVE TAKEN ADVANTAGE OF THIS OFFER, THE FUNDS SHOULD HAVE BEEN RETURNED TO THE FIRM FROM WELLS FARGO, NO LATER THAN FEBRUARY 28, 2007. TO DATE, THE FIRM HAS RECEIVED NO RESPONSE FROM THE CUSTOMER. THE FIRM CLOSED ITS CASE ON APRIL 17, 2007.
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