WILLIAM MATHEWS DOLAN is currently employed as a Broker and/or Investment Adviser at AXA ADVISORS, LLC located at 655 MAIN STREET, SUITE 205, EAST GREENWICH, RI, 02818.
WILLIAM MATHEWS DOLAN has worked at AXA ADVISORS, LLC since October 20, 1980
WILLIAM MATHEWS DOLAN has 3 Disclosure Event(s).
Date: May 27, 2011 Category: Customer Dispute Allegations: CLIENT ALLEGES HE REPLACED HIS FORMER POLICIES WITH A NEW 2000 VARIABLE LIFE INSURANCE POLICY BASED ON THE AGENT'S REPRESENTATION THAT HE WAS PURCHASING A ONE-TIME PREMIUM POLICY AND NO ANNUAL PREMIUMS WERE ASSOCIATED WITH THIS POLICY. CLIENT IS REQUESTING THE FIRM TO INVESTIGATE THIS MATTER. DAMAGES UNSPECIFIED. Settlement Amount: $130,979.39 Broker Comment: WITHOUT ADMITTING FAULT OR LIABILITY, THE PARTIES SETTLED THE MATTER. AXA-EQUITABLE AGREED TO THE CANCELLATION OF THE POLICY AS IF IT HAD NEVER BEEN ISSUED AND APPLICATION OF THE PREMIUMS REFUNDED TO REVERSE THE LOANS. LOSS TO FIRM: $130,979.39
Date: September 28, 1999 Category: Customer Dispute Allegations: CLIENT ALLEGES A 1984 ISSUE FIXED LIFE INSURANCE POLICY WAS "CHURNED" IN ORDER TO PURCHASE A 1998 ISSUE VARIABLE LIFE INSURANCE POLICY. CLIENT REQUESTED THE REINSTATEMENT OF HER ORIGINAL POLICY. DAMAGES ARE UNSPECIFIED. Broker Comment: EQUITABLE FOUND NO BASIS TO THE CUSTOMER COMPLAINT.
Date: February 19, 1999 Category: Customer Dispute Allegations: CLIENT ALLEGES SHE WAS INFORMED $25,000 COULD BE WITHDRAWN FROM A 1989 ISSUE VARIABLE LIFE INSURANCE POLICY WITHOUT CAPITAL GAINS OR INCOME TAX PENALTIES. HOWEVER, SHE WAS LATER INFORMED SUBSTANTIAL INCOME TAXES WOULD BE INCURREDON THE WITHDRAWN AMOUNT. DAMAGES ARE UNSPECIFIED. I AM ANAGENT OF EQUITABLE LIFE. Settlement Amount: $12,937.00 Broker Comment: EQUITABLE AGREED TO PAY A SETTLEMENT OF $12,937.00 REPRESENTING THE FEDERAL AND STATE TAX LIABILITY INCURRED BECAUSE OF THE PARTIAL WITHDRAWAL OF $25,000.00 FROM A VARIABLE LIFE INSURANCE POLICY.
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