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CLIENT ALLEGES THAT HIS FA FAILED TO ADEQUATELY EXPLAIN MARGIN TO HIM PRIOR TO UTILIZING IT. TIMEFRAME DECEMBER 1999.
Damage Amount Requested
$14,000.00
Broker Comment
I VEHEMENTLY DENY ANY WRONGDOING. I NEVER GAVE INVESTMENT ADVICE TO THE CUSTOMER DURING THE ENTIRE TIME HE WAS A PAINEWEBBER CLIENT. IN ADDITION, PAINEWEBBER REVIEWED AND DENIED CLIENT'S QUERY.
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.