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THE CUSTOMER ALLEGES THAT IN FEBRUARY 2011, THE FINANCIAL ADVISOR IMPROPERLY RECOMMENDED THE SALE OF SECURITIES TO PURCHASE A VARIABLE ANNUITY THAT WAS UNSUITABLE AND MISREPRESENTED.ACTIVITY DATES: 02/23/2011 - 02/08/2013
Damage Amount Requested
$69,769.00
Settlement Amount
$28,227.00
Broker Comment
THE MATTER WAS SETTLED AS A BUSINESS DECISION AND TO AVOID THE COSTS AND UNCERTAINTY OF LITIGATION.
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.