Customer Dispute 08/29/2001(Denied)
Customer Dispute 08/10/2001
PENNSYLVANIA RESIDENT COMPLAINS THAT FA RECOMMENDED VOLATILE STOCKS TO CONSERVATIVE CLIENT. UNREALIZED LOSSES BELIEVED TO BE OVER $5K.
$5,000.00
Customer Dispute 08/10/2001
CLAIMANTS ALLEGE THAT STARTING IN NOVEMBER OF 2000, AND CONTINUING FOR A PERIOD OF APPROXIMATELY SIX MONTHS, UNSUITABLE MUTAL FUND INVESTMENTS WERE MADE IN THEIR ACCOUNT THROUGH MISREPRESENTATIONS OF THE FA AND THAT THE FIRM FAILED TO SUPERVISE THE ACTIVITIES OF THE FA.
$94,750.00
$30,000.00
