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CLIENT ALLEGES POOR RECOMMENDATION/POOR ADVICE. DATE OF ACTIVITY IS 3/13/2009 THRU 3/13/2009.
Settlement Amount
$25,237.00
8/6/2007
Customer Dispute
Denied
Allegations
**UPDATE - THIS DISCLOSURE IS NO LONGER REPORTABL ON THE CURRENT U4 BECAUSE IT FILED MORE THAN 24 MONTHS AGO AND DID NOT SETTLE FOR $10,000 OR MORE** SUITABILITY - CLAIMANT STATES THAT UPON RECEIPT OF HIS ACCOUNTS, HIS NEWLY ASSIGNED FA SHOULD HAVE RECOMMENDED RE-ALLOCATION BASED ON HIS OBJECTIVES AND RISKS TOLERANCE.
ACTIVITY FROM 6/01/06 THRU 8/06/07.
Damage Amount Requested
$65,000.00
Broker Comment
**UPDATE - THIS DISCLOSURE IS NO LONGER REPORTABL ON THE CURRENT U4 BECAUSE IT FILED MORE THAN 24 MONTHS AGO AND DID NOT SETTLE FOR $10,000 OR MORE** DENIED- FAILED TO SETTLE AT MEDIATION. CLAIMANT HAD AN APPROXIMATE GAIN OF $40,000.00. MEDIATOR AGREED THAT CLAIMS HAD LITTLE MERIT.
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.