Potomac Analytics' Logo

FINRA Broker Allegations

Allegations against: David Hilton Page

Allegation type: Customer Dispute

Allegation status: Closed-No Action

The allegations read: Client claims he should have had a stop loss order on ek while broker was on vacation. In addition client claims the broker is dishonest result of no stop loss order. Broker states that although they discussed a stop loss order the client never confirmed with the broker to go head with such a strategy, therefore the broker did not receive instructions from the client to place a stop order.

Back