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CUSTOMER ALLEGED THAT HER FINANCIAL ADVISOR FAILED TO FOLLOW INSTRUCTIONS TO TRANSFER HER ACCOUNT AND DECEIVED HER.
Broker Comment
THE ACCOUNT AT ISSUE WAS CLOSED BY THE CUSTOMER IN JULY OF 2006. THE CUSTOMER SIGNED A LETTER IN THE BRANCH OFFICE INSTRUCTING THAT THE SECURITIES IN THE ACCOUNT BE SOLD AND A CHECK ISSUED. SHE ALSO PERSONALLY PICKED UP THE CHECK FOR THE SALES PROCEEDS. THIS COMPLAINT IS COMPLETELY WITHOUT MERIT.
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.