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Through her Attorney, the customer alleges unauthorized trading, unsuitable investment recommendations, and omission of material facts from April 2017 to January 2018.
Damage Amount Requested
$105,000.00
12/19/2018
Customer Dispute
Settled
Allegations
The Customer alleges unsuitable investments and misrepresentation from December 2015 until December 2018
Settlement Amount
$92,478.00
Broker Comment
Mr. Richman vehemently denies all allegations and any wrongdoing. Mr. Richman was neither asked nor did he contribute to the settlement.
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.