Default July 11, 2018 | 0 Comments | in | by PaperstreetWebDesign 1. My financial advisor did not fully explain to me the features and risks of my investments. yes no 2. My financial advisor recommended investments that were unsuitable for me — e.g., too risky, to speculative, etc. yes no 3. My financial advisor over-concentrated my account in unsuitable investments. yes no 4. My financial advisor failed to recommend hedging strategies to limit the risk of my investments. yes no 5. My financial advisor executed trades in my account without my prior approval. yes no 6. My financial advisor excessively traded the investments in my account in order to earn more commissions. yes no 7. My financial advisor stole from me. yes no 8. My financial advisor lent me money/borrowed money from me. yes no 9. My investments at issue included annuities, structured products, option, and/or trading on margin. yes no 10. My investment turned out to be a Ponzi scheme. yes no 11. It’s not just my word, I also have documents, emails, recordings, and/or video to support my claims.2 yes no 12. It’s not just my word, I also have one or more witnesses to support my claims.3 yes no 13. My account was “discretionary” — i.e., my financial advisor had authority to execute trades in my account with talking to me first. 4 yes no 14. My financial advisor made over $100,000 in commissions and/or fees from selling me the investments at issue. yes no 15. My brokerage firm’s management did not speak to me before I complained. yes no 16. My financial advisor has a history of prior complaints/regulatory issues (if you do not know, enter no). yes no 17. My primary investment objective was income or preservation of capital. yes no 18. Enter your level of investment sophistication (enter 0 for high, 1 for moderate, or 2 for low) high moderate low 19. Enter your age. 20. Enter the month and date (MM/YYYY) that the wrongdoing occurred (if you do not know the exact date, enter your best guestimate)6 21. Enter the dollar amount of damages you have suffered (if you do not know the exact amount of your damages, enter your best guestimate)7 Time's up