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.
The client alleges misrepresentations, including on his monthly brokerage statements, regarding inter-account transfers and trading from 2007-2021.
Broker Comment
The client is suing four major financial firms based on similar conspiracy theories. All four firms consider the client's claims to be baseless. The FA denies the allegations and intends to vigorously defend the matter.
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.