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CLIENT ALLEGES THAT FINANCIAL ADVISOR MADE MISREPRESENTATIONS AND UNSUITABLE INVESTMENT RECOMMENDATIONS
Damage Amount Requested
$33,000.00
Broker Comment
MERRILL LYNCH AND MR. MACK ASSERT THAT ALL INVESTMENT RECOMMENDATIONS WERE MADE AS CONSISTENT WITH THE CUSTOMER'S INVESTMENT OBJECTIVES AND RISK TOLERANCE. IN ADDITION, WE ASSERT THERE WAS NO MISREPRESENTATION BUT A CUSTOMER MISUNDERSTANDING AS THE PAPERWORK THE CUSTOMER SIGNED PROPERLY DISCLOSED THE VALUATION DATE ALLEGED TO HAVE BEEN MISREPRESENTED.
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.