Allegation that financial professional instructed investment adviser to sell securities to increase cash on hand without consulting with customer and that investment advisory fees charged exceeded the amount that was reasonable for the services provided. Date of activity: November 2, 2021 to June 26, 2023.

The allegations made in this complaint are without merit, clearly erroneous, and false. The customers were charged an advisory fee at a rate that was disclosed and the customer agreed in writing to pay, which was less than the financial professional's normal rate. The customers approved the distribution of funds from the customers' account in writing and signed documentation acknowledging the payment to which the distribution of funds related.

Injury to Child

Dismissed

This was clearly a misunderstanding from a miscommunication compounded by the Covid-19 pandemic. This matter was summarily DISMISSED by the court. It is with disappointment and regret that something that was mischaracterized and subsequently dismissed is still tarnishing my stellar reputation by continuing to be disclosed.