RedFlag, Allegation and/or Complaint against BRIAN CARL GINTER
Disclosure #1 for BRIAN GINTER
- Event Date: 5/16/2016
- Disclosure Type: Customer Dispute
- Resolution: Settled
- Allegations: Customer alleged Representative advised her to take withdrawals from her mutual fund accounts in 2015 but failed to inform her about the consequences, including the tax consequences, of taking the withdrawals.
- Damage Amount Requested: $7,532.00
- Settlement Amount: $7,532.00
- Arbitration Docket Number:
Should I file a FINRA complaint against brokers like BRIAN CARL GINTER?
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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