RedFlag, Allegation and/or Complaint against BETH ANN FOTI
Disclosure #1 for BETH FOTI
- Event Date: 10/19/2010
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: CLAIMANT FILED A FINRA ARBITRATION ALLEGING UNSUITABILITY AND FAILURE TO SUPERVISE IN THE RECOMMENDATION AND PURCHASE OF AN OPPENHEIMER MUNICIPAL BOND FUND.
- Damage Amount Requested: $130,000.00
- Settlement Amount: $67,000.00
- Arbitration Docket Number:
- Broker Comment: I DENY ANY WRONGDOING AND BELIEVE THAT THE RECOMMENDATION WAS APPROPRIATE.
Should I file a FINRA complaint against brokers like BETH ANN FOTI?
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 @ 8:52 pm