RedFlag, Allegation and/or Complaint against Andy J Holmes
Disclosure #1 for Andy Holmes
- Event Date: 7/30/2009
- Disclosure Type: Criminal
- Disclosure Resolution: Final Disposition
- Disclosure Detail :: Criminal Charges :: Charges: ALTERED EXPIRED MONTH ON TAG
- Disposition: Dismissed
- Amended Charges: EXPIRED TAG
- Amended Charge Type: OTHER
- Amended Charge Disposition: Pled guilty
- Broker Comment: TAG DECAL WAS DAMAGED; CHARGE FOR ALT TAGS WAS DISMISSED ON 8/11/2009. THIS TRAFFIC VIOLATION WAS LATER EXPUNGED WITH AN ORDER OF EXPUNGEMENT DATED 8/7/2014.
Should I file a FINRA complaint against brokers like Andy J Holmes?
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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