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I pulled myself up on there, and they're missing an exam I passed as well as having my education wrong.
I pulled myself up on there, and they're missing an exam I passed as well as having my education wrong.
![\"user-pic\"](\"http://consumerist.com/assets_c/userpics/userpic-2087-100x100.png\")
Interesting -- my former broker, who lost a lot of my money shows up on the list with 2 pending customer complaints. I didn't think I could file a complaint since I signed a disclosure statement when I signed with him, stating that I understood the risks of investing, but I think I'll pursue it anyway. At least it might warn anybody else thinking of doing business with him.
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Thanks for the link to this great resource.
I looked my broker up and he has one complaint from back in '04.
The complaint is that he caused someone a loss of $1,500,000 for
CLIENT ALLEGED SEVERAL SALES PRACTICE VIOLATIONS, INCLUDING SUITABILITY, CHURNING AND UNAUTHORIZED TRADING, WHICH RESULTED IN SUBSTANTIAL LOSSES.which was settled outside of arbitration for $425,000.
Not exactly confidence inspiring. He's never pushed any trading whatsoever on me, but he's not very responsive either.
Maybe I should go broker shopping next week.
How did that guy get in there?
Yeah, look for other information too. I had an agent trying to sell me insurance and investments. I looked up information on him found he had his house foreclosed on and had declared bankrupcy too. There may have been some unforunate incident that caused it, but its hard to trust advice from someone who has had that kind of finacial trouble.