Simon Michael Mundlak of Miami Florida a stockbroker formerly registered with Ladenburg Thalmann Co. Inc. is the subject of a customer initiated investment related arbitration claim where the customer sought $5,000.00 in damages based upon allegations that equity investment recommendations were not suitable for the customer and an inappropriate strategy for equity trading was executed in the customer’s account. Financial Industry Regulatory Authority (FINRA) Arbitration No. 16-02092 (July 26, 2016).
FINRA Public Disclosure additionally confirms that a customer initiated investment related arbitration claim regarding Mundlak’s activities was resolved for $125,000.00 in damages founded on accusations of unsuitability with respect to the customer’s over-the-counter equities portfolio. FINRA Arbitration No. 07-00179 (Jan. 22, 2008).
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