RedFlags, Allegations and Complaints against C GERARD VAN DUINEN
Disclosure #1 for C VAN DUINEN
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- Event Date: 4/14/2009
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Closed-No Action
- Disclosure Detail :: Allegations: CLIENT WAS NOT SATISFIED WITH THE LEVEL OF RISK MANAGEMENT PROVIDED BY THE OUTSIDE MONEY MANAGER OF HIS WRAP ACCOUNT.
- Arbitration Docket Number:
- Broker Comment: THE CLIENT’S CONCERNS WERE ADDRESSED TO HIS SATISFACTION BY THE MONEY MANAGER. THE CLIENT IS SATISFIED WITH HIS REGISTERED REPRESENTATIVE.
Should I file a FINRA complaint against brokers like C GERARD VAN DUINEN?
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 C GERARD VAN DUINEN
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