Voya, ING Clients File Disputes About Securities Broker Richard Sall
Evidently, there are three Voya Financial Advisors (formerly ING) investor disputes on the Financial Industry Regulatory Authority (“FINRA”) BrokerCheck report of securities broker Richard Harris Sall (CRD#: 1515945, Duluth, Minnesota). It appears that Sall maintained employment with Amev Investors, Voya Financial Advisors (1990 to 2020) and LPL Financial (July 2020 to present) as both a financial advisor and securities broker. Soreide Law Group provides you with a brief summary of these disclosures as reported on BrokerCheck.
Voya Financial Advisors Client Alleges That They Were Misled By Richard Sall Regarding Variable Annuity
Evidently, a Voya Financial Advisors client took issue with Richard Sall’s representations concerning a variable annuity. Specifically, in the January 2020 dispute, the client contended that the securities broker misled them when they bought the annuity in September 2017. Supposedly, this caused them to experience $22,792 in damages. However, Voya Financial Advisors denied this dispute in January 2020.
ING Financial Partners Client Alleges Variable Annuity Misrepresentation
Notably, a client of ING Financial Partners brought a dispute about Richard Sall’s variable annuity sale. In particular, the client claimed that the securities broker misrepresented GMIB rider annuitization options on a variable annuity. Supposedly, the client incurred damages of some sort because of this. However, ING Financial partners denied the dispute.
Richard Sall’s Client At ING Partners Alleges Inaccurate Explanations Regarding Variable Annuity
Evidently, the first dispute reported on Richard Sall’s BrokerCheck record comes from a client of ING Financial Partners. As with the two other disputes, this client contended that the securities broker caused damages on a variable annuity issue. Supposedly, he failed to properly explain the variable annuity’s income feature to this client when she purchased the annuity. For this reason, to resolve the matter, ING Financial Partners opted to settle with the client by compensating them.
Did You Sustain Damages By Investing Through Sall?
Did securities broker Richard Sall cause you to experience losses? If so, call Soreide Law Group at (888) 760-6552 and speak with a skilled securities lawyer about a potential recovery of your losses. Soreide Law Group represents clients on a contingency fee basis and advances all costs. The firm has recovered money for many U.S. investors who have incurred losses because of their financial advisors and securities brokers. Please note that Sall denies all allegations of his sales practice violations.