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THE CUSTOMERS ALLEGED UNAUTHORIZED TRADING IN NOVEMBER 2012 IN A RECENT CLIENT SATISFACTION SURVEY.
Broker Comment
CLIENT STATED TO TWO BRANCH MANAGERS THAT HE HAD NO RECOLLECTION OF WRITING SURVEY COMMENTS INDICATING THAT TRANSACTIONS WERE UNAUTHORIZED, AND WOULD HAVE NO REASON FOR DOING SO. CLIENT STATED THAT HE MET WITH THE FINANCIAL ADVISOR IN PERSON AND AUTHORIZED ALL TRANSACTIONS.
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.