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THE HUSBAND ALLEGED THEY HAD NOT AUTHORIZED THE INVESTMENT OF $115,000 IN MAY OF 2008. HE ALSO STATED, EVEN IF HIS WIFE HAD AUTORIZED THE TRANSACTIONS ON THE JOINT ACCOUNT,ADDITIONAL FOLLOW UP SHOULD HAVE OCCURED. THEY REQUESTED A REVERSAL OF THE TRANSACTIONS AND A REFUND OF THEIR LOSSES.
Damage Amount Requested
$61,439.48
Broker Comment
OUR REVIEW INDICATED THE JOINT OWNER AUTHORIZED THE MAY 2008 INVESTMENTS.
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.