VIBHA J RAWAL

VIBHA J RAWAL is currently employed as a Broker and/or Investment Adviser at ALLSTATE FINANCIAL SERVICES, LLC located at 4151 Southwest Fwy Ste 395, Houston, TX, 77027.

VIBHA J RAWAL has worked at ALLSTATE FINANCIAL SERVICES, LLC since October 06, 2016

Disclosure History

VIBHA J RAWAL has 3 Disclosure Event(s).

Date: August 05, 2011
Category: Financial
Type: Bankruptcy
Disposition: Discharged

Date: August 15, 2002
Category: Customer Dispute
Allegations: FROM 03/19/2000 ACCCOUNT OPENED - NO OTHER DATES SPECIFIED. LEFT MORGAN STANLEY 03/27/2001 - ALLEGATIONS UNAUTHORIZED TRADING, UNSUITABLE SECURITES RECOMMENDATIONS, FAILURE TO SUPERVISE.
Settlement Amount: $30,000.00

Date: March 28, 2001
Category: Employment Separation After Allegations
Firm Name: MORGAN STANLEY
Termination Type: Discharged
Allegations: DISPUTE BY CLIENT HIMSELF. HE SENT AN EMAIL FROM OVERSEAS SAYING THAT I DID NOT FO ANYTHING PROPERLY.
Broker Comment: CLIENT'S EMAIL TO ME FROM OVERSEAS WAWS MISINTERPRETED DUE TO CULTURAL MISUNDERSTANDINGS.

More Information

All individuals registered to sell securities or provide investment advice are required to disclose customer complaints and arbitrations, regulatory actions, employment terminations, bankruptcy filings and criminal or civil judicial proceedings.

A disclosure includes information about customer disputes, disciplinary events and financial matters on the broker's record as reported by securities regulators, the individual broker, and any involved firms. Some of these items may involve pending actions or allegations that have not been resolved or proven. The presence of a disclosure does not automatically indicate any wrongdoing.

BrokerCheck is the source of the data included in this Report. The data was compiled on June 29, 2018.

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