SNM Global Holdings (SNMN)

[louieforpar]

An excerpt from that complaint:


Quote:
Claimant alleged that Respondents ignored their client's instructions by, inter alia, refusing
to send Claimant monthly statements, permitting the elder Lowman to withdraw the principal
that Claimant had contributed, engaging in trading of options based on forged documents,
engaging in trading of options that was not suitable in any event, and refusing to permit
Claimant to withdraw the funds she contributed in the first place.







http://www.finra.org/sites/default/files/aao_documents/99-00243-Award-