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The Customer alleges improper solicitation in October 2016
6/30/2010
Customer Dispute
Settled
Allegations
The Customer alleges unsuitable investment recommendations, misrepresentation, omissions of material facts and misappropriation of the Customer's funds in order to engage in unauthorized trading in November 2007.
Damage Amount Requested
$68,090.40
Settlement Amount
$24,595.70
Broker Comment
AS A BUSINESS DECISION AND TO AVOID THE COSTS AND UNCERTAINTIES OF LITIGATION, THE FIRM SETTLED THIS MATTER FOR THE STATED DOLLAR AMOUNT
1/9/2009
Customer Dispute
Denied
Allegations
THE CUSTOMER ALLEGES UNSUITABLE INVESTMENT RECOMMENDATIONS AND UNAUTHORIZED TRADING.
Damage Amount Requested
$30,000.00
Broker Comment
THE FINANCIAL ADVISOR ADVISOR DENIES ANY WRONG DOING AND RECALLS DISCUSSING ALL TRANSACTIONS WITH THE CLIENT BEFORE EXECUTING THE TRADES.
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.