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11/3/08; THE POA FOR THE ACCOUNT OWNER STATES THAT THEY HAVE CONCERNS REGARDING RECOMMENDATIONS MADE BY THE FA WITH REGARD TO SUITABILITY OF INVESTMENTS. THE POA DOES NOT SPECIFY WHICH INVESTMENTS THEY FEEL WERE UNSUITABLE. FILING REQUIRED. ACCOUNT VALUE HAS DECREASED IN EXCESS OF $5,000.
Damage Amount Requested
$5,000.00
Broker Comment
THE FA STATED THAT EACH INVESTMENT MADE IN THE ACCOUNT HAS BEEN DISCUSSED WITH THE CLIENT PRIOR TO PLACING THE TRADE. THE FA STATED THAT THE CLIENT AGREED TO EACH INVESTMENT AND THE FA FEELS COMFORTABLE THE CLIENT FULLY UNDERSTOOD ANY TRANSACTIONS THAT HAVE OCCURRED IN THE ACCOUNT. THE ACCOUNT APPEARS TO BE REASONABLY DIVERSIFIED AND THE INVESTMENTS DO NOT APPEAR TO BE OUT OF LINE WITH THE CLIENT'S STATED OBJECTIVES. IT DOES NOT APPEAR AS THOUGH THE ACCOUNT HAS BEEN HANDLED IMPROPERLY.
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.