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Claimants alleged the investments they purchased in 2014 and 2015 were not suitable and were misrepresented.
Damage Amount Requested
$350,000.00
Settlement Amount
$80,000.00
Broker Comment
I vehemently deny any misconduct in connection with the investment recommendations at issue in this matter. The recommendations were entirely suitable for the clients based on the information available to me at the time, and as represented to me and the Firm by the clients. The Firm made a business decision to resolve this matter, without any admission of liability whatsoever, in order to avoid the costs and distraction of further proceedings.
10/26/2006
Customer Dispute
Denied
Allegations
CLAIMANT ALLEDGE LACK OF SERVICE CAUSED A LOSS IN ACCOUNT.
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.