RedFlag, Allegation and/or Complaint against ANDREW ROY WORTHINGTON
Disclosure #1 for ANDREW WORTHINGTON
- Event Date: 8/8/2008
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: CLIENT ALLEGES THAT HIS SAVINGS WERE INVESTED INTO AUCTION RATE SECURITIES, WHICH WAS CONTRADICTORY OF THE MANAGEMENT APPROACH RECOMMENDED AND AGREED TO BE IMPLEMENTED. CLIENT FURTHER ALLEGES THAT THE PURCHASE OF THE ARS WAS MADE WITHOUT HIS AUTHORIZATION.
- Damage Amount Requested: $88,000.00
- Settlement Amount: $88,000.00
- Arbitration Docket Number:
- Broker Comment: THE COMPLAINT AROSE BECAUSE OF UNPRECEDENTED MARKET EVENTS THAT CAUSED THE BREAKDOWN OF LIQUIDITY IN THE MARKET FOR AUCTION RATE SECURITIES.
Should I file a FINRA complaint against brokers like ANDREW ROY WORTHINGTON?
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.
Frequently Asked Questions About ANDREW ROY WORTHINGTON
What is ANDREW WORTHINGTON's Central Registration Depository (CRD) Number?
Which firm is ANDREW ROY WORTHINGTON associated with?
Where is ANDREW WORTHINGTON located?
Where can I find more details about ANDREW WORTHINGTON's Investment Firm?
Are there any disclosures, allegations or complaints filed against ANDREW ROY WORTHINGTON?
Where can I download a detailed FINRA report for ANDREW WORTHINGTON?
Is it safe to do business with ANDREW ROY WORTHINGTON?
All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. BrokerAudit.com does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. BrokerAudit.com intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.
Originally reported on November 17, 2022 @ 9:04 pm