SUSAN LAURA SUTHERLAND is currently employed as a Broker and/or Investment Adviser at OPPENHEIMER & CO. INC. located at 4855 TECHNOLOGY WAY, SUITE 400, BOCA RATON, FL, 33431.
SUSAN LAURA SUTHERLAND has worked at OPPENHEIMER & CO. INC. since January 03, 2003
SUSAN LAURA SUTHERLAND has 2 Disclosure Event(s).
Date: March 20, 2007 Category: Customer Dispute Allegations: THE CLAIMANT ALLEGES THAT THE RESPONDENTS FAILED TO ADEQUATELY ADVISE HIM HOW TO PROTECT HIS PORTFOLIO AND FAILED TO DIVERSIFY HIS ACCOUNT BY RECOMMENDING THAT HE MAINTAIN HIS POSITION IN NORTEL NETWORKS. THE CLAIMANT SEEKS DAMAGES OF APPROXIMATELY $1,000,000. Damage Amount Requested: $1,000,000.00 Settlement Amount: $50,000.00 Broker Comment: THE BROKER DID NOT CONTRIBUTE TO THE SETTLEMENT AND CONTINUES TO DENY STRONGLY THAT THESE CLAIMS HAVE ANY MERIT.
Date: March 20, 2007 Category: Customer Dispute Allegations: THE CLAIMANTS ALLEGE THAT THE RESPONDENTS FAILED TO ADEQUATELY ADVISE THEM HOW TO PROTECT THEIR PORTFOLIO AND FAILED TO DIVERSIFY THEIR ACCOUNT BY RECOMMENDING THAT THEY MAINTAIN THEIR POSITION IN NORTEL NETWORKS. THE CLAIMANTS SEEKS DAMAGES OF APPROXIMATELY $1,000,000. Damage Amount Requested: $1,000,000.00 Settlement Amount: $60,000.00 Broker Comment: I AM NOT A REGISTERED BROKER BUT I AM A REGISTERED SALES ASSISTANT. I HAVE BEEN INCLUDED IN THIS ARBITRATION BECAUSE I WORKED FOR CIBC WORLD MARKETS AND THE BROKER DURING THE TIME THE CLIENT HAD THEIR ACCOUNT WITH CIBC WORLD MARKETS. I DID THE ADMINISTRATIVE WORK ONLY AND WAS NOT IN A POSITION TO ADVISE OR DISCUSS THEIR INVESTMENTS AND HOW THEY SHOULD BE ALLOCATED.
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