RedFlag, Allegation and/or Complaint against ADAM A MONTGOMERY
Disclosure #1 for ADAM MONTGOMERY
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- Event Date: 3/13/2020
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: CLIENT ALLEGES HE DISCUSSED HIS NEED FOR PRESERVATION OF CAPITAL TO BUILD A HOUSE IN THE NEXT 3-4 MONTHS BUT HIS ADVISOR DID NOT PLACE ADEQUATE INVESTMENT PARAMETERS ON THE ACCOUNT TO PRESERVE CASH.
- Damage Amount Requested: $200,000.00
- Settlement Amount: $87,223.89
- Arbitration Docket Number:
Should I file a FINRA complaint against brokers like ADAM A MONTGOMERY?
Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.
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Originally reported on November 17, 2022 @ 9:31 pm
