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.
The client alleges the FA misrepresented the return they would receive on the variable annuity product they purchased resulting in a discrepancy between said representation and actual return.
Damage Amount Requested
$20,500.00
Settlement Amount
$9,593.75
Broker Comment
After completion of the firm's investigation, as a business decision, with no finding of wrongdoing, the matter was resolved in the
amount of $9,593.75. The Financial Advisor was not required to contribute to 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.