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THE CUSTOMER ALLEGES THAT THE REGISTERED REPRESENTATIVE GAVE BAD ADVICE ABOUT AN IRA DISTRIBUTION AND ALLEGES THAT THIS EXPOSED THE CUSTOMER TO $30,000 IN TAX LIABILITY.
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.
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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.