How Did I Get Here? Uninvolved Wachovia RR Still Named in FINRA Customer Arbitration

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Nov 17, 2010 8:02 am

How Did I Get Here? Uninvolved Wachovia RR Still Named in FINRA Customer Arbitration

http://www.brokeandbroker.com/index.php?a=blog&id=644

In a FINRA Arbitration Statement of Claim filed in July 2009, public customer Bonnie M. Shoultz alleged that she suffered damages due to Respondents' unsuitable investments, negligence, and inappropriate errors and charges to her investment account. In the Matter of the Arbitration Between Bonnie M. Shoultz, Claimant, versus  Joshua Jason Billauer, Ralph Thomas Bryan, Christopher Thomas Kozo, Wachovia Securities, LLC, and Robert Alan Wolter, Respondents   

Umm --- there's just this one puzzling aspect of the Claim.  Respondent Wolter was not employed at the branch at issue in this matter at any relevant time. Further, Wolter had no oversight responsibility for the branch where Claimant had her account and no oversight responsibility for the other named Respondents during the time Claimant had her account at Wachovia Securities. LLC.  

Why was Respondent Wolter named? How did he fare in this FINRA Arbitration?

How Did I Get Here? Uninvolved Wachovia RR Still Named in FINRA Customer Arbitration

http://www.brokeandbroker.com/index.php?a=blog&id=644