When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
CUSTOMER ALLEGED THAT THE REPRESENTATIVE MISREPRESENTED THE LIQUIDITY OF THE AUCTION RATE SECURITY PURCHASED IN OCTOBER 2007. CUSTOMER HAS ALLEGED DAMAGES AS NOTED BELOW.
Damage Amount Requested
$100,000.00
1/6/2010
Customer Dispute
Denied
Allegations
CUSTOMER ALLEGED THE REPRESENTATIVE WAS RESPONSIBLE FOR HER PORTFOLIO, WHICH WAS OPENED IN NOVEMBER 2008, AND SHE HAS EXPERIENCED LOSSES INSTEAD OF GAINS. CUSTOMER HAS ALLEGED DAMAGES AS NOTED BELOW.
Damage Amount Requested
$11,000.00
12/11/2001
Customer Dispute
Denied
Allegations
CLIENT ALLEGES "I WAS NEVER AADVISED[MY BROKER] WAS GOING TO CONVERT TO INDIVIDUAL STOCKS LET ALONE HIGH 'RISK TECH' STOCKS." DAMAGES ARE NOT SPECIFIED BUT APPEAR TO IN EXCESS OF $5,000.00. THIS MATTER WAS NOT REPORTABLE PRIOR TO RECEIPT OF WRITTEN COMPLAINT ON 12/11/01.
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.