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THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS AND MISREPRESENTATION FROM SEPTEMBER 2007 TO OCTOBER 2008.
Damage Amount Requested
$848,910.00
Settlement Amount
$300,000.00
6/12/2002
Customer Dispute
Settled
Allegations
CLIENT ALLEGES SHE WAS NT MADE AWARE OF CERTAIN RISKS IN HER INVESTMENTS AND THAT HER EXPOSURE TO THOSE RISKS WAS INADVISABLE. NO SPECIFIC DAMAGES ALLEGED.
Settlement Amount
$27,500.00
Broker Comment
MATTER WAS SETTLED TO AVOID THE COST AND TIME OF AN ARBITRATION PROCEEDING.
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.