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PURPORTED LACK OF SUITABLE INVESTMENT STRATEGIES CONCERNING INVESTMENTS MADE ON BEHALF OF CUSTOMER. DATES UNKNOWN
Damage Amount Requested
$195,000.00
Broker Comment
CUSTOMERS INITIATED A COMPLAINT LETTER ON OCTOBER 17, 2000. CORRESPONDENCE SENT BY REGISTRANT'S ATTORNEY TO COUNSEL FOR THE CUSTOMERS REJECTING ALL CLAIMS & DEMANDS OCCURRED OVER SIX (6) MONTHS AGO. COUNSEL FOR THE CUSTOMERS HAS NOT INITIATED ANY ACTION AGAINST REGISTRANT AND HAS NOT COMMUNICATED WITH REGISTRANT OR HIS COUNSEL SINCE NOVEMBER 30, 2000. COUNSEL FOR REGISTRANT RESPONDED TO THAT LETTER ON DECEMBER 13, 2000. IT IS BELIEVED THAT THE CUSTOMERS HAVE ABANDONED THEIR CLAIM AND THE COMPLAINT LETTER HAS THEREFORE BEEN CLOSED.
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.