Potomac Analytics' Logo

FINRA Broker Allegations

Allegations against: Lance Jeffrey Ziesemer

Allegation type: Customer Dispute

Allegation status: Settled

The allegations read: The customer, who had worked with rr ziesemer at a previous firm, began transferring over accounts in june 2007 to felt and company and terminated his relationship with rr in january 2016. The claim states the focus of the complaint will be alleged activity from 3/1/2011 till january 2016 and allegations include unauthorized trading, unsuitable trading, fraud, negligence, negligent misrepresentation and breach of contract.

Back