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CUSTOMER ALLEGES FAILURE TO FOLLOW INSTRUCTIONS TO SELL A MUTUAL FUND IN AUGUST 2007.
Damage Amount Requested
$35,000.00
Settlement Amount
$14,750.00
Broker Comment
THE FIRM SETTLED THE COMPLAINT TO AVOID THE COST AND UNCERTAINTY OF LITIGATION, WITH NO ADMISSION OF WRONGDOING AND NO MONETARY CONTRIBUTION FROM THE REPRESENTATIVE.
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.