THOMAS DALE HERR is currently employed as a Broker and/or Investment Adviser at AUSDAL FINANCIAL PARTNERS, INC. located at 2538 NORTH LINCOLN AVE, CHICAGO, IL, 60614.
THOMAS DALE HERR has worked at AUSDAL FINANCIAL PARTNERS, INC. since March 11, 2009
Disclosure History
THOMAS DALE HERR has 1 Disclosure Event(s).
Date: January 11, 1991 Category: Employment Separation After Allegations Firm Name: MUTUAL/UNITED OF OMAHA INSURANCE CO. Termination Type: Permitted to Resign Allegations: NO PROCEEDINGAS A DISTRICT SALES MANAGER FOR MUTUAL OFOMAHA, I HAD APPROVED THREE ACCIDENT & HEALTH APPLICATIONS THATWERE SOLD BY ONE OF MY AGENTS. AFTER THE POLICYS WERE ISSUED,THE CLIENTS USED THEIR TEN DAY FREE LOOK AND ASKED FOR THEIRMONEY BACK, WHICH WAS REFUNDED TO THEM BY THE COMPANY. SINCETHE AGE ENT HAD A TRACK RECORD OF RECISIONS, THE COMPANY SOLDTHAT I SHOULD NOT HAVE SENT IN THE AREPPOVED THE APPLICATIOSINTIALLY. Broker Comment: I HAD RESIGNED THAT DAY.THE PROCEEDING WAS THAT I HAD A MEETING WITH MYMANAGER AND THE AREA SALES DIRECTOR. TAE AREA SALES DIRECTORASKED ABOUT GENERAL OFFICER PROCEEDING. WHICH ANSWERED FINE,AND THAN ABOUT THESE THREE APS. HE SAID ACCORDING TO THE OFFICEPROCEEDING MANUAL. I SHOULD NOT HAVE APPROVED THE APPLICATIONS.I WAS NEVER GIVEN AN OFFICE PROCEEDED MANUAL. THIS AREA EXEPTONE. I BELIEVE THEY WERE LOOKING TO CUT OVERHEAD OR EXPENSES.THEY ALSO FIND THE OTHER 3 D.S.M. IN MY OFFICE A NUMBER OFWEEKS. LATER FOR NOT MEETING SALES QUETOS.
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