Articles Tagged with investor dispute

Jeffrey Weiner (CRD#: 2476604), a registered representative with Pruco Securities LLC (CRD#: 5685) in New York, New York, is currently involved in two pending investor disputes, according to his BrokerCheck record accessed on July 29, 2020. What happened to lead to these disputes? Read on to learn more.

Jeffrey Weiner
On May 19, 2020, a client alleged that Jeffrey Weiner misrepresented a variable universal life insurance (VUL) policy. The policy was issued on September 9, 2015. The client is alleging that Jeffrey Weiner never told him that he would be surrendering his whole life policy by doing a 1035 Exchange into a new VUL. the client is seeking a return of the cash value of the policy and all premiums paid since 2015. The matter is pending. 

On May 23, 2020, a second client alleged that Jeffrey Weiner misrepresented a variable universal life policy. This policy was issued on March 3, 2017. The policy was funded by a 1035 Exchange of two Universal Life policies. The client alleges that this resulted in a $5,000 surrender charge that Jeffrey Weiner never told him about. The client is seeking a reversal of the transaction, a return to his old policies, and the $5,000 surrender charge credited to these policies. The matter is pending.

Christopher Vining (CRD#: 2945065), a registered representative with Morgan Stanley (CRD#: 149777) in Bradenton, Florida, is currently involved in a pending investor dispute, according to his BrokerCheck record accessed on July 29, 2020. What happened to lead to these disputes? Read on to learn more. 

Christopher Vining
On May 29, 2020, a client filed an investor complaint against Christopher Vining. A client is alleging that Christopher Vining misrepresented an alternative investment fund that the client purchased in 2019. The matter is pending. 

This is not the only disclosure on Christopher Vining’s BrokerCheck record. On April 27, 2009, a customer alleged that the broker engaged in unauthorized trading. The client originally sought $176,000 in damages; the matter ultimately settled for $81,425. 

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