RedFlags, Allegations and Complaints against Michael Anthony Millard
Disclosure #1 for Michael Millard
- eventDate: 9/2/2016
- Disclosure Type: Employment Separation After Allegations
- Disclosure Resolution:
- Disclosure Detail :: Firm Name: BANCWEST INVESTMENT SERVICES INC.
- Termination Type: Discharged
- Allegations: FIRM DETERMINED THAT REPRESENTATIVE ACTED IN A MANNER INCONSISTENT WITH FIRM POLICIES AND PROCEDURES BY FAILING TO SUBMIT BUSINESS IN A TIMELY MANNER.
- Broker Comment: The case was a complicated rollover into a single premium deferred annuity (fixed annuity). The funds were transferred from a SPDA with another insurance company via 1035 exchange, direct transfer. BancWest Investment Services contacted the receiving insurance company and confirmed that I had followed up with several telephone conversations and submitted appropriate paperwork. BancWest Investment Services told me in a telephone conversation they felt the transaction took longer than they felt it should have. This was told to me after the process had been completed, I had delivered the new contract and forwarded the delivery certificate to the insurance company that issued the new single premium deferred annuity contract. No complaint was filed by the client
Should I file a FINRA complaint against brokers like Michael Anthony Millard?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
Update – 2022.11.15If you have suffered investment losses that may have been caused by Michael Anthony Millard’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
Frequently Asked Questions About Michael Anthony Millard
What is Michael Millard’s Central Registration Depository (CRD) Number?
Which firm is Michael Anthony Millard associated with?
INNOVATION PARTNERS LLC
Where is Michael Millard located?
5950 FAIRVIEW ROAD, CHARLOTTE, NC, 28210
Where can I find more details about Michael Millard’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/146344 to read a detailed report for INNOVATION PARTNERS LLC
Are there any disclosures, allegations or complaints filed against Michael Anthony Millard?
Where can I download a detailed FINRA report for Michael Millard?
Is it safe to do business with Michael Anthony Millard?
We’re not sure. Please research Michael Millard’s disclosures, allegations and complaints before taking a decision
Originally reported on November 15, 2022 @ 11:41 pm
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