FINRA Broker Allegations

Allegations against: Timothy Neil Tremblay

Allegation type: Customer Dispute

Allegation status: Award / Judgment

The allegations read: Clients alleged unsuitability, fraud, misrepresentation, and negligence in connection with the 1988 purchase of ag spanos, vms, fogelman, and prudential bache energy income lp. Damages of $335,000 are being claimed.