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
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