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The client alleges the financial advisor's recommendation to purchase various investments in November 2016 constituted poor advice.
Damage Amount Requested
$6,417.02
Broker Comment
After completion of the firm's investigation into the client's allegations, a settlement offer was extended to the client. However, the client declined the offer.
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.