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The client alleges the financial advisor provided poor advice with his investment recommendations and did not surrender fees on Ohio National Life insurance policies.
Damage Amount Requested
$119,741.91
Settlement Amount
$7,861.90
Broker Comment
After completion of the firm's investigation, client's claim was resolved in the amount of $7862.00. Financial advisor contributed to the resolution in the amount of $1,157.00
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.