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Re: dahbmw post# 156757

Sunday, 10/19/2014 2:40:44 PM

Sunday, October 19, 2014 2:40:44 PM

Post# of 159752
I filed my claim with FINRA if that's what you mean. It was denied. I provided the FINRA claim that was posted here as a victory and still with that precedent they denied my claim and said they side with the brokerage.

When I filed my claim with my state oversight board, they ended up packaging up my claim and sending it to the SEC. The SEC told them to send it to them. The state then washed their hands of any involvement in any resolution. The SEC did nothing with it. This was back in 2006 if I recall correctly.

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