Date: July 26, 2016 Category: Customer Dispute Allegations: Claimant alleges that from 2009 through 2016, FA made unauthorized trades and unsuitable investments.
Date: April 04, 2016 Category: Customer Dispute Allegations: Client verbally alleged unsuitable investments in energy stocks (1/19/2005-4/14/2016). Settlement Amount: $17,300.00
Date: March 23, 2016 Category: Customer Dispute Allegations: Client verbally alleged she was never told about any of the trades in her account(9/13/2000-3/23/2016). Damage Amount Requested: $40,000.00 Settlement Amount: $30,000.00
Date: June 04, 2001 Category: Customer Dispute Allegations: CLAIMANTS ALLEGE INTER ALIA, COMMON LAW AND STATUTORY SECURITIES VIOLATIONS IN CONNECTION WITH EQUITY TRANSACTIONS FROM JANUARY THROUGH APRIL 2000 Damage Amount Requested: $282,000.00 Settlement Amount: $67,500.00 Broker Comment: CLAIMANTS AGREED TO COOPERATE IN THE EXPUNGEMENT OF THIS MATTER FROM MR. MIRER'S CRD. FURTHERMORE, MR. MIRER DID NOT CONTRIBUTE TO THE SETTLEMENT.
Date: December 01, 1992 Category: Employment Separation After Allegations Firm Name: RAYMOND JAMES & ASSOCIATES, INC Termination Type: Permitted to Resign Allegations: N/AIT WAS DETERMINED THAT MR. MIRER AS GENERALPARTNER OF AN INVESTMENT PARTNERSHIP PAID MONIES TO HIMSELFWITHOUT ADEQUATE WRITTEN BACK-UP, WHICH MONIES WERESUBSEQUENTLY RETURNED Broker Comment: I WAS PERMITTED TO RESIGN.AS GENERAL PARTNER, I HAD LEGAL AUTHORITY ANDOBLIGATION TO PAY ALL OPERATING EXPENSES OF THE PARTNERSHIP(SEC. 207,P7), INCLUDING ALL TAXES, ORGANIZATION AND INVESTMENTEXPENSES, LEGAL EXPENSES. IN AUG., 1992 THE PARTNERSHIP'SATTORNEYS RECOMMENDED AMENDING THE PARTNERSHIP DOCUMENTS,REWRITING TAX OPINIONS AND UPDATING REGISTRATIONS. THE LEGALWORK WAS ESTIMATED AT $10,000, AND $10,000 WAS WITHDRAWN FROMTHE PARTNERSHIP RESERVES. $2,500 WAS BILLED AND PAID, ANDAFTER BEING TOLD BY THE ATTORNEYS THAT NO FURTHER BILLS WEREFORTHCOMING IN 1992, I REDEPOSITED THE $7,500 BALANCE INTO THEPARTNERSHIP ACCOUNT. RAYMOND JAMES SAID I TOOK MONIES OUT OFTHE ACCOUNT WITHOUT BILLING DOCUMENTS AS BACKUP. BUT THEPARTNERSHIP DOCUMENTS ALLOWED WITHDRAWAL OF MONIES FOR RESERVESFOR LEGAL COSTS.
Date: November 12, 1986 Category: Customer Dispute Allegations: 1) FAILURE & REFUSAL TO EXECUTE MKT ORDER BY[CUSTOMER] TO SELL; 2) RECOMMENDING SPECULATIVE, UNSUITABLE STOCKTO [CUSTOMER]; 3) SPECIFIC COMPANY RECOMMENDED WAS NOT FINANCIALLYSOUND/INSOLVENT; 4) [OTHER FIRM EMPLOYEE] & MIRER TRADED PARTICULAR STOCKOF OUR OWN & PREFERENTIAL CUSTOMERS BASED ON INFORMATION NOTGIVEN TO [CUSTOMER]. AWARD REQUEST OF $163,179.46. Damage Amount Requested: $123,750.00 Damages Granted: $3,750.00 Broker Comment: THE RESPONDENT, MIRER, SHALL BE LIABLE TO THECLAIMANT AND SHALL PAY THE SUM OF THREE THOUSAND SEVEN HUNDREDFIFTY DOLLARS ($3,750.00), SUCH AMOUNT REPRESENTS CLAIMANTSACTUAL DAMAGES.SUMMARY:1) PAINEWEBBER ATTORNEY ASKED [CUSTOMER]DIRECTLY "DID YOU GIVE MR. MIRER A MARKET ORDER TO SELL THESTOCK"? [CUSTOMER'S] REPLY "NO I DIDN'T" 2) P.W. ATTORNEY PROVED BYGETTING RECORDS OF OTHER [CUSTOMER] ACCOUNTS AT OTHER FIRMS, THATHE DISTINCTLY BOUGHT SPECULATIVE STOCKS IN LARGE SIZE(100,000+). 3) WE SUBMITTED QUARTERLY 10Q, 10K TO DISPROVETHIS, COMPANY WAS EARNING MONEY, HAS NO DEBT. 4) P.W. PROVIDEDCOMPUTER RUNS OF ALL TRANSACTIONS IN THE STOCK, MIRER & [OTHER FIRM EMPLOYEE]DID NO TRADING, NOR DID ANY PREFERENTIAL CUSTOMERS. IN SUMMARY,ALL CLAIMS IN CASE WERE DISPROVED; ONLY QUESTIONABLE CONDUCTACCORDING TO ARBITRATORS - BROKERS EVENTUAL RESPON. TO TELLCLIENT TO SELL IN THESE SITUATIONS.
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