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THE CUSTOMER ALLEGES MISREPRESENTATION FROM MAY 2013 TO MARCH 2015.
7/3/2002
Customer Dispute
Pending
Allegations
UNAUTHORIZED PURCHASE OF BRAZIL BOND. CLIENT EARLIER MADE SIMILAR ALLEGATIONS WHICH WERE INVESTIGATED AND BELIEVED TO BE WITHOUT MERIT.
Damage Amount Requested
$68,758.89
10/1/2001
Customer Dispute
Denied
Allegations
CUSTOMER CLAIMS FINANCIAL CONSULTANT FAILED TO FOLLOW INSTRUCTIONS AND FUTHER CLAIMS UNSUITABILITY WITH RESPECT TO THE SELLING OF EQUITIES AND CERTAIN MUTUAL FUNDS.
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.