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ALLEGATIONS OF UNSUITABLE SECURITIES
CLAIMED DAMAGES OF $44,100.00
Damage Amount Requested
$44,100.00
Settlement Amount
$10,000.00
Broker Comment
MATTER SETTLED FOR $10,000.00 WHICH REPRESENTS
ONE FOURTH OF CLAIM. TO AVOID LITIGATION. WE FEEL SECURITIES
RECOMMENDED WERE CONSISTANT WITH CLIENT'S INVESTMENT OBJECTIVE.
Not Provided
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.