This case centers on a seven-month period in 2009 and 2010, at the beginning of which Claimant Stirling transferred a large sum of money to new, non-discretionary accounts with Respondent Dowley and his brokerage, all in cash or cash equivalents, with the intention of investing largely in equities, in order for her to profit from an expected upturn in the market.
FORBES: FINRA Arbitration Expungement for Wells Fargo Broker