Jeanette S. Stofleth, of Seattle, Washington, a stockbroker formerly registered with Key Investment Services, has been named in a customer initiated investment related written complaint on January 19, 2017, in which the customer requested $5,000.00 in damages based upon allegations that the Stofleth made poor investment recommendations regarding the customer’s $450,000.00 investment in single premium immediate annuities issued by Principal Life Insurance Company.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on December 7, 2016, a customer filed an investment related written complaint regarding Stofleth’s activities, in which the customer requested $16,295.01 in damages based upon allegations that Stofleth misrepresented an indexed annuity issued by Great American Life that the customer purchased for $153,000.00, as well as a fixed annuity issued by Delaware Life that the customer purchased for $35,000.00.
Stofleth’s registration with Key Investment Services LLC was terminated on April 18, 2016. Since then, the customer has been registered with Morgan Stanley.
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