FINRA Broker Allegations

Allegations against: Eric Shawn Richter

Allegation type: Customer Dispute

Allegation status: Closed-No Action

The allegations read: Client alleges that on september 7, 2022, she requested to liquidate all securities and move funds into a money market fund, and client alleges losses of $5,247.52 on securities in account as of september 30, 2022.