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11/01/2019: Customer complained about liquidity of products.
04/11/2022: Customer complained about liquidity and performance of a product. This complaint was related to the same product that the complaint about on November 1, 2019.
Damage Amount Requested
$450,000.00
Settlement Amount
$270,000.00
Broker Comment
The complaint lacks merit. I did not contribute to the settlement.
05/12/2022- Even though the Firm settled with the client in 12/2019, I maintain that this complaint lacks merit and this complaint is related to a matter that was settled with the client in good faith.
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.