When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
2/3/90 DOCKET 91-1171 AC -ACTS AND OMISSIONS ALLEGING NEGLIGENCE,
BREACH OF FIDUCIARY DUTY.
Damage Amount Requested
$10,000.00
Settlement Amount
$10,000.00
Broker Comment
$10,000 SETTLEMENT PAID BY GLEN FED AND RELEASED
OF ALL CLAIMS AGAINST FLIP WIELAND AND GLENFED.
THIS CASE NEVER WENT TO ARBITRATION AND WAS
SETTLED WITHOUT PROCEEDINGS. CUSTOMER TRANSACTIONS WERE FULLY
DISCLOSED WITH CUSTOMER HAVING FULL KNOWLEDGE OF SALES CHARGES
AND FLUCTUATING SHARE PRICE. ALL EXCHANGES WERE DONE ON AN
UNSOLICITED BASIS WITH CUSTOMER PRESENT WHEN EXCHANGES WERE
EXECUTED BY PHONE.
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.
Loading...
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.