CUSTOMER COMPLAINED TO SEC MAKING MULTIPLE ALLEGATIONS INCLUDING FAILING TO DISCUSS TRANSACTIONS AND INAPPROPRIATE TRANSACTIONS IN CLASS B SHARES OF MUTUAL FUNDS. THE CUSTOMER ALLEGED THAT THE ACCOUNT HAD DECLINED BY $100,000.

$100,000.00

This claim has been reviewed and found to have no merit by FINRA, "any and all were denied". The complaint that appears on my record involves one client, one time frame and one single issue. The claim occurred during the market turbulence of 2007-2008, when the market was wavering and all were nervous. In the twenty plus years that I have provided brokerage services, this is the only client to have made a claim that my services were deficient. This client's claim was evaluated and found to be without merit. In fact, the client completely changed the basis for the claim at the hearing, since they were not persuasive. The claim was asserted by the client under the auspices of FINRA, whereupon an independent arbitrators evaluated the claim, and the claim was determined to be lacking merit, "any and all were denied". There was simply no sound basis for the claim that was made.