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THE CUSTOMERS ALLEGE MISREPRESENTATION AND FAILURE TO FOLLOW INSTRUCTIONS BY THE FINANCIAL ADVISOR. DAMAGES UNSPECIFIED.
Settlement Amount
$36,111.11
Broker Comment
TO RESOLVE THIS MATTER, THE PURCHASE AT ISSUE WAS CANCELED AND THE CUSTOMER WAS CREDITED BACK THE FULL PURCHASE AMOUNT. CLIENT DID NOT RECEIVE ANY ADDITIONAL AMOUNT BEYOND THE PURCHASE AMOUNT.
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.