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Time Frame: September 9th, 2021 to May 30th,2023
What were the allegations against the individual? The client alleges unsuitability citing that the Financial Advisor bought some stock that did not align to the client's risk profile. The alleged damages are estimated to be in excess of $5,000.00.
5/27/2021
Customer Dispute
Settled
Allegations
Time Frame: June 2, 2020
What were the allegations against the individual?
The client alleges his Financial Advisor failed to follow his instructions and sold his shares instead of transferring them to another account. .
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.
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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.