When communicating online or investing with any professional, make sure you know who you’re dealing with. Imposters might link to sites like BrokerCheck from phishing or similar scam websites, or through social media , trying to steal your personal information or your money. Please contact FINRA with any concerns.
I sent check in to resolve this matter and it has been posted. Currently waiting on confirmation statement. Most of the amount of this lien has previously been reported. The approx. $6,200 was 2018 and now waiting on the payment confirmation statement.
9/3/2019
Customer Dispute
Denied
Allegations
Client is alleging that she received poor advice from the representative. The client and representative started working together shortly after the passing of the client's husband. Client was seeking the representatives advice concerning her inheritance. The representative helped the client put together a financial strategy that would help provide short term financial assistance as well as address the client's long term financial needs.
Damage Amount Requested
$5,000.00
Broker Comment
The plan in question was crafted by the senior partner advisor. Client has since submitted a letter rescinding my name from the complaint. I am still in contact with the client and on good terms.
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.
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.