Charles William Sawyer Jr. of Owings Mills Maryland a stockbroker currently employed by Client One Securities, owned by the Creative One Marketing Corporation is the subject of a customer initiated investment related arbitration claim in which the customer requested $40,249.00 in damages supported by allegations that the customer was provided poor advice relating to mutual fund investment transactions. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-01537 (May 31, 2018).
FINRA Public Disclosure also confirms that on February 24, 2009, a customer initiated investment related complaint regarding Sawyer’s conduct was settled to resolve accusations that the customer was placed in mutual funds that were not suitable for the customer.
In addition, FINRA Public Disclosure reveals that Sawyer has been twice sanctioned by securities regulators for misconduct. For example, he was fined by the Maryland Insurance Commissioner based upon Sawyer’s consent to findings that he made misrepresentations pertaining to long-term care product sales. Case No. MIA-2004-07-036 (July 21, 2004).
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