Steven Wayne Below of Naperville Illinois a stockbroker currently employed by U.S. Bancorp Investments Inc. is the subject of a customer initiated investment related arbitration claim where the customer sought $1,020,005.18 in damages supported by accusations that stocks had been sold from the customer’s investment account without the customer’s consent. Financial Industry Regulatory Authority (FINRA) Arbitration No. 17-02269 (Sept. 11, 2017).
FINRA Public Disclosure additionally confirms that on September 26, 2012, a customer filed an investment related complaint concerning Below’s conduct in which the customer requested $19,824.88 in damages founded on allegations that Below effected the sale of the customer’s mutual fund position despite having agreed to maintain that position, and purchased another investment for the customer’s account without having discussed the transaction with the customer beforehand.
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