Date: January 16, 2012 Category: Financial Type: Bankruptcy Disposition: Discharged Broker Comment: THE BANKRUPTCY WAS DUE TO A DIVORCE.
Date: November 05, 2010 Category: Customer Dispute Allegations: ACTION IN CONNECTION WITH LOSSES STEMMING FROM PURCHASES OF A NATIONAL MUNICIPAL FUND IN JULY THROUGH SEPTEMBER 2007. Damage Amount Requested: $303,000.00 Damages Granted: $50,000.00 10-04699
Date: May 10, 2010 Category: Customer Dispute Allegations: ACTION IN CONNECTION WITH LOSSES STEMMING FROM A PURCHASE OF A NATIONAL MUNICIPAL FUND IN JULY 2007. Damage Amount Requested: $250,000.00 Settlement Amount: $65,000.00
Date: September 08, 2009 Category: Criminal Charges: THEFT BY DECEP-FALSE IMPRESSION Disposition: WITHDRAWN Broker Comment: DURING THE DIVORCE PROCESS, A CHECK FOR ABOUT $50 WAS WRITTEN ON A JOINT ACCOUNT HELD WITH MY WIFE AT THE TIME. I DID NOT BECOME AWARE THAT THERE WERE INSUFFICIENT FUNDS TO COVER THE CHECK UNTIL I WAS NOTIFIED BY THE AUTHORITIES. A FINE WAS PAID AND THE CHARGES WITHDRAWN.
Date: May 13, 2009 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT FUNDS INVESTED IN JULY 2007 WERE NOT ALLOCATED TO THE MUTUAL FUNDS THAT HE DIRECTED, CAUSING LOSSES. Damage Amount Requested: $180,000.00
Date: October 09, 2008 Category: Customer Dispute Allegations: CLIENT'S ALLEGE THAT THEY WERE NEVER ADVISED THAT THE MUTUAL FUND SHARES THEY PURCHASED IN MARCH 2008 COULD LOSE PRINCIPAL. Damage Amount Requested: $11,770.51
Date: February 29, 2008 Category: Customer Dispute Allegations: CLIENT ALLEGES THAT A SHARE CONTIGENT DEFERRED SALES CHARGE WAS NOT DISCLOSED ON MUTUAL FUND PURCHASED IN JULY 2007. HE FURTHER ALLEGES THAT HIS INSTRUCTIONS TO LIQUID THIS FUND WERE NOT FOLLOWED IN DECEMBER 2007. Damage Amount Requested: $29,777.81
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