RedFlag, Allegation and/or Complaint against BOBBY OONKAR GOCOOL
Disclosure #1 for BOBBY GOCOOL
- Event Date: 7/28/2016
- Disclosure Type: Regulatory
- Disclosure Resolution: Final
- Initiated By: MUTAL FUND DEALERS ASSOCIATION OF CANADA
- Allegations: THE MUTUAL FUND DEALERS ASSOCIATION OF CANADA (MFDA) ALLEGED THAT I HAD USED PRE-SIGNED ACCOUNT FORMS AND DID NOT PROPERLY SUPERVISE THE USE OF ACCOUNT FORMS. THE MFDA NOTED THAT THERE WAS NO EVIDENCE OF CLIENT HARM AND THAT I RECEIVED NO COMPENSATION FOR THE TRANSCATIONS EFFECTED BY USING THESE FORMS BEYOND WHAT I WOULD NORMALLY HAVE RECEIVED THE RELATED TRANSACTIONS WERE AUTHORIZED BY THE CLIENTS.
- Resolution: Order
- Sanction Details :: Sanctions: Civil and Administrative Penalty(ies)/Fine(s)
- Sanction Details :: Amount: $17,500.00 Sanctions: Monetary Penalty other than Fines
- Broker Comment: THE MUTUAL FUND DEALERS ASSOCIATION OF CANADA NOTED THAT THERE WAS NO EVIDENCE OF CLIENT HARM AND THAT I RECEIVED NO COMPENSATION FOR THE TRANSACTIONS EFFECTED BY USING THESE FORMS BEYOND WHAT I WOULD NORMALLY HAVE RECEIVED. I HAVE SATISFIED THE CONDITIONS PLACED UPON ME BY THE ORDER.
Should I file a FINRA complaint against brokers like BOBBY OONKAR GOCOOL?
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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