WILLIAM ALLEN DOTSON

WILLIAM ALLEN DOTSON is currently employed as a Broker and/or Investment Adviser at NYLIFE SECURITIES LLC located at 205 E. RIVER PARK CIRCLE, STE.220 221 222 223 224 225 226 227 228 229 250, FRESNO, CA, 93720.

WILLIAM ALLEN DOTSON has worked at NYLIFE SECURITIES LLC since September 28, 1982

Disclosure History

WILLIAM ALLEN DOTSON has 1 Disclosure Event(s).

Date: December 18, 2007
Category: Customer Dispute
Allegations: WITH REGARD TO A VARIABLE ANNUITY PURCHASED IN MAY 2007, CUSTOMER ALLEGES THAT THE ANNUITY WAS SOLD TO HER UNDER FALSE PRETENSES AND MISREPRESENTATION. CUSTOMER FURTHER MAINTAINS THAT SHE WAS NOT PROVIDED WITH FULL AND COMPLETE DISCLOSURE IN ORDER TO MAKE AN EDUCATED DECISION.
Damage Amount Requested: $39,755.38

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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