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The client alleges the financial advisor did not explain the Certificate of Deposit amount the client could withdraw would be subject to current market value.
Broker Comment
After completion of the firm's investigation into the client's allegations, the claim was denied.
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.