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FINRA Broker Allegations

Allegations against: Stephen Wayne Mattocks

Allegation type: Customer Dispute

Allegation status: Closed-No Action

The allegations read: Clients allege that stephen w mattocks did not inform them that they world be billed periodically each yr for their variable universal life insurance policy purchased in sept 2002 to remain in force. Clients also allege that they were not informed of the surrender charges to be assessed should they want to access their invested funds.

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