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FINRA Broker Allegations

Allegations against: Ruben Javier Frezzotti

Allegation type: Customer Dispute

Allegation status: Denied

The allegations read: Written complaint by [customer], dated 3.9.10, received in legal on 3.15.10, alleges unauthorized trading against fa r. Frezzotti. Loa from [customer], received 4.9.10, provides authorization for mk to response to [customer]'s allegations. As of 4.9.10, the complaint was updated to reflect a written complaint from the client upon receipt of the loa. Reference related case id #7282.

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