Stephen Allen Sylvester (also known as Steve Sylvester), of Groton and Waterford, Connecticut, a stockbroker currently registered with CUNA Brokerage Services Inc., is referenced in a customer initiated investment related written complaint which was settled on November 2, 2021, to resolve allegations that Sylvestor made the unsuitable recommendation to purchase a fixed annuity transaction during…
Stephen Allen Sylvester of Groton Connecticut a stockbroker currently associated with CUNA Brokerage Services Inc. is referenced in a customer initiated investment related written complaint on April 22, 2016 where the customer sought $40,000.00 in damages supported by accusations that (1) Sylvester failed to make disclosures to the customer about the penalties of surrendering a…
Todd Douglas Micciche of Portland Oregon a stockbroker currently employed by CUNA Brokerage Services Inc. is referenced in a customer initiated investment related written complaint which was resolved for $57,700.00 in damages on December 14, 2017 based upon accusations that an unauthorized liquidation of the customer’s assets were executed from the customer’s account. Financial Industry…
James David Armer of Albuquerque New Mexico a stockbroker formerly registered with BBVA Securities Inc. is referenced in a customer initiated investment related written complaint on December 7, 2018 where the customer sought damages estimated to exceed $5,000.00 based upon allegations that while associated with BBVA Securities Inc. Armer failed to inform the customer about…