Vintage bond certificate

Andrew H. Bloom of Chicago Illinois a stockbroker currently registered with Wunderlich Securities Inc. is the subject of a customer initiated investment related arbitration claim where the customer requested more than $5,000.00 in estimated damages founded on allegations that (1) unsuitable investment recommendations had been made to the customer concerning master limited partnerships and oil and gas investments (2) investment details were misrepresented to the customer and (3) Wunderlich Securities Inc. failed to supervise Bloom’s activities in the customer’s account. Financial Industry Regulatory Authority (FINRA) Arbitration No. 18-00760 (March. 5, 2018).

FINRA Public Disclosure reveals that on December 30, 2014, a customer initiated investment related complaint concerning Bloom’s conduct was settled for $24,241.00 in damages based upon accusations that while Bloom was associated with Wunderlich Securities, he omitted facts pertaining to municipal bond investments during the time Bloom solicited them to be purchased by the customer.

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