Date: February 16, 2001 Category: Customer Dispute Allegations: CLAIMANT ALLEGES BETWEEN 3/21/00 AND 5/17/00, RESPONDENTS SOLD BLUE CHIP STOCKS AND REPLACED THEM WITH SPECULATIVE TECHNOLOGY STOCK THAT WERE UNSUITABLE. ADDITIONALLY, CLAIMANT ALLEGES NEGLIGENCE, VIOLATION OF VIRGINIA SECURITIES ACT, MISREPRESENTATION AND FAILURE TO SUPERVISE. Damage Amount Requested: $195,070.29 Damages Granted: $200,670.00 Broker Comment: IN SEPTEMBER 2002, MR. JOE CONTRIBUTED $70,000 TOWARD THE $200,670.00 AWARDED TO THE CLAIMANT. THIS FILING IS MADE TO REFLECT THAT CONTRIBUTION.
Date: October 30, 1998 Category: Customer Dispute Allegations: CLIENT ALLEGED THAT THE ANNUITIES PURCHASEDIN HIS ACCOUNT WERE UNSUITABLE. ALLEGED DAMAGES UNSPECIFIED.SMITH BARNEY, INC. Broker Comment: THE CLIENT`S CLAIM WAS DENIED. THERE WERE NOOPTIONS OR COMMODITIES INVOLVED.NOT PROVIDED
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