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CLIENT ALLEGES THAT SHE DID NOT BECOME AWARE OF THE EXPENSES AND FEES ASSOCIATED WITH THE INVESTMENT PRODUCT PURCHASED IN FEBRUARY 2012 UNTIL SHE RECEIVED THE CONTRACT IN OCTOBER 2013.
6/11/2001
Employment Separation After Allegations
Firm Name
LINSCO/ PRIVATE LEDGER
Termination Type
Discharged
Allegations
CUSTOMER COMPLIANT STATING UNAPPROVED DISCRETIONARY TRANSACTIONS AND LOSSES IN CUSTOMER ACCOUNTS
Broker Comment
OVER THE COURSE OF ONE YEAR, THREE ACCOUNTS HAD UNATHORIZED DISCRETIONARY TRADES THAT LED TO LOSSES.
4/13/2001
Customer Dispute
Settled
Allegations
CUSTOMER COMPLIANT STATED UNATHORIZED TRANSACTIONS AND LOSSES IN THREE ACCOUNTS OVER A ONE YEAR PERIOD
Damage Amount Requested
$80,600.00
Settlement Amount
$40,000.00
License(s)
The broker is not currently registered with any state or SRO.
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.