TIMOTHY MONROE WILLIAMS

TIMOTHY MONROE WILLIAMS is currently employed as a Broker and/or Investment Adviser at CANTELLA & CO., INC. located at 3037 W PALMETTO STREET, FLORENCE, SC, 29501.

TIMOTHY MONROE WILLIAMS has worked at CANTELLA & CO., INC. since September 10, 2010

Disclosure History

TIMOTHY MONROE WILLIAMS has 2 Disclosure Event(s).

Date: December 07, 2011
Category: Judgment / Lien
Judgment/Lien Amount: $139,477.51
Judgment/Lien Type: Civil
Broker Comment: THIS DISPUTE WAS SOLELY BASED ON A LABOR DISAGREEMENT. IT WAS A NON-SECURITIES RELATED INCIDENT AND NO CLIENTS WERE INVOLVED.

Date: January 22, 2008
Category: Customer Dispute
Allegations: NC RESIDENT PURCHASED $100,000 AXA VA ON 8/17/07. CLIENT DID NOT REVIEW POLICY UNTIL JANUARY 2008 AND CLAIMS THAT THE FINANCIAL ADVISOR WHO SOLD HIM THE VA MISREPRESENTED THE INVESTMENT BY STATING THAT THE PRINCIPAL WAS GUARANTEED FOR 4 YEARS. CLIENT ALSO ALLEGES THAT CERTAIN EARNING ENHANCEMENT BENEFITS WERE NOT OFFERED. CLIENT WOULD LIKE HIS PRINCIPAL RETURNED WITHOUT SURRENDER CHARGES. COST TO ACCOMODATE CLIENT'S DEMAND IS $8,000 SURRENDER FEE PLUS $2752 IN DECREASE IN VALUE.
Damage Amount Requested: $10,752.19

More Information

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

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