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THE CUSTOMERS ALLEGE MISREPRESENTATION AND UNSUITABLE INVESTMENT RECOMMENDATIONS IN 2007 AND 2008.
Damage Amount Requested
$1,000,000.00
Settlement Amount
$200,000.00
Broker Comment
THE MATTER WAS SETTLED FOR BUSINESS REASONS TO AVOID THE COST AND UNCERTAINTY OF ARBITRATION. MS. BROWN WAS NOT THE BROKER OF RECORD FOR THE MAJORITY OF THE PURCHASES AT ISSUE. MS. BROWN DID NOT 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.