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Client alleges unsuitable investments and losses in accounts.
Damage Amount Requested
$8,000.00
Broker Comment
Upon review of the client's three accounts, she had a gain of $3,853.68 net after fees.
7/31/2012
Customer Dispute
Closed-No Action
Allegations
CLIENT ALLEGES THAT THE REPRESENTATIVE DID NOT DELIVERY ANY SERVICES TO THE PLAN OR ITS PARTICIPANTS. THE REPRESENTATIVE WAS THE REP OF RECORD AND INVESTMENT PROFESSIONAL FROM JUNE 2011 THROUGH NOVEMBER OF 2011.
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.