RedFlag, Allegation and/or Complaint against AMY LYNN WAKEM
Disclosure #1 for AMY WAKEM
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- Event Date: 11/8/2016
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Closed-No Action
- Disclosure Detail :: Allegations: Daughters of the above named deceased’s mother are requesting reimbursement of expenses that were incurred due to her Traditional IRA not having beneficiaries assigned. They are reporting that they confirmed with the agent, in person, that her 3 daughters were the sole benes to be split equally in thirds.
- Damage Amount Requested: $12,631.75
- Arbitration Docket Number:
Should I file a FINRA complaint against brokers like AMY LYNN WAKEM?
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 posted on November 17, 2022 @ 9:02 pm
