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The Customer alleges unsuitable investment recommendations and omission of material facts from July 2009 to June 2017.
3/6/1995
Customer Dispute
Settled
Allegations
CLAIMANT ALLEGED THAT HE WAS SOLD UNSUITABLE
INVESTMENTS INCLUDING SERVERAL CORPORATE BONDS AND BOND MUTUAL
FUNDS AND HE SOUGHT DAMAGES OF MORE THAN $35,000.
Settlement Amount
$10,000.00
Broker Comment
$10,000
CLAIMANT PURCHASED VARIOUS BONDS AND BOND MUTUAL
FUNDS IN MID-1993. DUE TO A SERIES OF INTEREST RATE INCREASES,
THESE DECLINED IN VALUE AND WERE SOLD ON THE CUSTOMER`S OWN
INITIATIVE IN LATE 1994.
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.