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The client alleges the financial advisor provided poor advice when recommending that she continue to hold investments in her account(s) rather than liquidate.
Damage Amount Requested
$100,000.00
Broker Comment
Based on the firm's review, the client's claim was denied.
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.