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Clients complained that cash in their accounts should not have been considered when determining the amount of assets under management for purposes of calculating their advisory fee, despite having signed disclosures of same at the time of opening their accounts.
Damages Granted
$110,000.00
Broker Comment
As a trusted advisor for 37 years, I'm confident I managed the [REDACTED] family account with integrity and in accordance with the agreed upon financial plan we established while working together. I stand by the work put in on their behalf.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.