David J. Hollander, of Oakland, California, a stockbroker currently registered with Liberty Group, LLC, is the subject of a customer initiated investment related arbitration claim on July 23, 2017, in which the customer requested $35,000.00 in damages based upon allegations that Hollander omitted information about tax liabilities pertaining to the customer’s liquidation of a variable annuity. The customer claimed that the policy would have remained in force had the customer been properly apprised by Hollander of the tax consequences of terminating the policy.
Financial Industry Regulatory Authority (FINRA) Public Disclosure further reveals that on January 20, 2011, a customer initiated investment related arbitration claim involving Hollander’s conduct was settled for $122,500.00 in damages based upon allegations that he breached his fiduciary and contractual obligations to the customer, negligently handled the customer’s investment account, made omissions and misrepresentations to the customer, and committed fraud in regard to real estate security and private placements effected in the customer’s account.
Guiliano Law Group
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