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CUSTOMER'S ATTORNEY ALLEGES THAT THE TRADES IN HIS CLIENT'S ACCOUNT WERE DONE "WITHOUT AUTHORIZATION TO DO SO." CUSTOMER'S ATTORNEY FURTHER CLAIMS THAT THE TRADES WERE "UNSUITABLE FOR A WOMAN WITH ZERO EXPERIENCE IN THE MARKETS." LASTLY, CLIENT'S ATTORNEY ALLEGES THAT HIS CLIENT'S "NEW ACCOUNT APPLICATION . . . SETS FORTH THE FALSE STATEMENT SHE HAD 15 YEARS EXPERIENCE TRADING BONDS AND EQUITIES" AND "WAS SIGNED IN BLANK BY HIS CLIENT AND FILLED IN BY MR. GRECO."
Damage Amount Requested
$170,000.00
11/25/1991
Customer Dispute
Award / Judgment
Allegations
UNSUITABLE INVESTMENTS IN CERTAIN OPTION AND
COMMON STOCK, BREACH OF FIDUCIARY DUTY
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.