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The Customers allege unsuitable investment recommendations and misrepresentation from 2013 until 2015.
Settlement Amount
$40,000.00
Broker Comment
This matter was settled in order to avoid the cost and uncertainty of litigation. The Financial Advisor did not contribute
monetarily towards 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.
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.