RedFlag, Allegation and/or Complaint against CHARLES DAVID PELT
Disclosure #1 for CHARLES PELT
- Event Date: 6/25/2018
- Disclosure Type: Regulatory
- Resolution: Final
- Initiated By: Georgia Department of Banking and Finance
- Allegations: Fined $1,000 for not having the proper back ground check completed on mortgage licensed team members within a 2 year window of licensing.
- Resolution: Settled |Sanctions: Civil and Administrative Penalty(ies)/Fine(s) |Amount: $2,000.00
Should I file a FINRA complaint against brokers like CHARLES DAVID PELT?
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 reported on November 17, 2022 @ 8:48 pm