When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
CLIENT ALLEGES THAT THEY DID NOT AUTHORIZE THE PURCHASE OF A MUTUAL FUND.
Damage Amount Requested
$10,000.00
Broker Comment
REGARDING THE ISSUE THAT THE MUTUAL FUND PURCHASE WAS NOT APPROVED BY [CUSTOMER]. THIS EVENT HAD TO BE DISCLOSED ON MY BROKER REPORT BECAUSE IF A CLIENT EVEN ALLEGES A NON-APPROVED PURCHASED IT MUST BE ADDED TO THE REPORT AS A DISCLOSED "EVENT". LETTER FROM THE COMPLAINT DEPARTMENT TO [CUSTOMER] CONFIRMING THAT HE HAD INDEED AUTHORIZED THIS PURCHASE IS IN HIS FILE."
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.
Loading...
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.