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CUSTOMERS ALLEGED RR MISREPRESENTED HIS FEES, RECOMMENDED UNSUITABLE INVESTMENTS, AND SOLD STOCKS WITHOUT THEIR KNOWLEDGE. MANAGED ACCOUNTS AND LIFE INSURANCE WERE OPENED IN 2010 AND 2011, AND A VARIABLE ANNUITY WAS OPENED IN 2011. FIRM FOUND NO EVIDENCE TO SUPPORT THE ALLEGATIONS AND DENIED REQUEST FOR REIMBURSEMENT.
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.