FINRA Award in the amount of $310,000 against Morgan Stanley for breach of fiduciary duty and professional negligence.
FINRA Award in the amount of $310,000 against Morgan Stanley for breach of fiduciary duty and professional negligence.
Multi-Million Dollar Securities fraud claims in Federal Court. SETTLED
Multi-Million Dollar Securities fraud claims in Federal Court. SETTLED
FINRA Award in the amount of $115,000 against Oppenheimer & Co. for churning and unauthorized trading.
FINRA Award in the amount of $115,000 against Oppenheimer & Co. for churning and unauthorized trading
Multi-Million Dollar Securities claim in Federal Court. SETTLED
Multi-Million Dollar Securities claim in Federal Court. SETTLED
FINRA Award against Merrill Lynch, Pierce, Fenner & Smith, Inc. in the amount of $150,000 for unsuitable investments and failure to supervise.
FINRA Award against Merrill Lynch, Pierce, Fenner & Smith, Inc. in the amount of $150,000 for unsuitable investments and failure to supervise.