Timothy Glen Asp, of Reedsburg, Wisconsin, a stockbroker formerly registered with Packerland Brokerage Services, Inc., is the subject of a customer initiated investment related written complaint on May 4, 2017, in which the customer requested $5,000.00 in damages based upon allegations that Asp’s sales practice violations led the customer to suffer significant investment losses from 2008 to 2017.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that on January 15, 2016, a customer filed an investment related written complaint involving Asp’s conduct, in which the customer requested $9,645.86 in damages based upon allegations that Asp did not disclose the fees charged to the customer in reference to a variable annuity transaction, and omitted the penalties and tax liabilities pertaining to a money manager account. Further, on May 18, 2016, a customer filed an investment related written complaint regarding Asp’s activities, where the customer sought $10,000.00 in damages founded upon allegations that Asp omitted details from the customer about the liquidity of a fixed annuity.
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