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ALLEGATIONS OF NEGLIGENCE, BREACH OF FIDUCIARY DUTY, RECOMMENDING UNSUITABLE INVESTMENTS, SELF-DEALING OR REFUSAL TO DISCLOSE A PERSONAL INTEREST IN THE INVESTMENT RECOMMENDATIONS, BREACH OF DUTY TO LOOK OUT FOR THE CLIENT'S BEST INTEREST AND EDUCATE HER AS TO AVAILABLE INVESTMENT OPTIONS, AND FAILURE TO SUPERVISE, STEMMING FROM THE INVESTMENT OF TRUST ASSETS. (AMOUNT CLAIMED: COMPENSATORY DAMAGES OF $100,000, PLUS PUNITIVE DAMAGES, COSTS AND ATTORNEY'S FEES.)
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.