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The customer alleges an unsuitable investment portfolio and that the Financial Advisor was not acting in the customers' best interest from December 2021 until January 2022.
Broker Comment
The Firm found the portfolio and investment recommendations were appropriate to meeting the clients stated goals and objectives. All investments implemented were fully authorized by the client. Upon review of all records, the Firm found no evidence to support the customer's claims. No offer of compensation has been made to the customer."
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
IA
Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
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.