RedFlag, Allegation and/or Complaint against CHRISTOPHER WILLIAM HARPER
Disclosure #1 for CHRISTOPHER HARPER
- Event Date: 4/6/2015
- Disclosure Type: Customer Dispute
- Resolution: Closed-No Action
- Allegations: [CUSTOMER’SFATHER PASSED AWAY 10/24/2014. THE FATHER’S TRUST STATED THAT [CUSTOMER WAS TO RECEIVE 1500/MONTH FOR 15 YEARS IN THE FORM OF AN ANNUITY. PLANTE MORAN TRUST (PMT)AS TRUSTEE REFERRED THE CASE TO PLANTE MORAN INSURANCE AGENCY AND REGISTERED REPRESENTATIVE MR. HARPER. IN ACCORDANCE WITH THE TRUST PROVISIONS, AN ANNUITY WAS ESTABLISHED WITH NATIONWIDE AND PAYMENTS BEGAN 12/24/2014. ON 03/27/2015 CLIENT WROTE TO THE STATE OF OREGON INSURANCE DIVISION ALLEGING HE WILL HAVE TO SURRENDER THE ANNUITY AND NOT RECEIVE ANY PROCEEDS IN ORDER TO CONTINUE RECEIVING HIS VETERAN’S ADMINISTRATION (VA) DISABILITY BENEFITS. HE ALSO ALLEGES A SPECIAL NEEDS TRUST SHOULD HAVE BEEN CREATED FOR HIS INHERITANCE TO PROTECT THE PAYMENTS FROM REDUCING HIS VA BENEFITS.
- Damage Amount Requested: $270,000.00
- Arbitration Docket Number:
- Broker Comment: MR. HARPER IS AN EMPLOYEE OF PLANTE MORAN INSURANCE AGENCY (PMIA), A LIMITED BROKER DEALER. PLANTE MORAN TRUST, SERVING AS TRUSTEE, REFERRED THIS CASE TO PMIA AND MR. HARPER. THROUGH A REVIEW OF THE DOCUMENTS, THE TRUSTEE WAS REQUIRED TO DISTRIBUTE TRUST ASSETS AS PRESCRIBED IN THE TRUST, INCLUDING [CUSTOMER’S INHERITANCE. INQUIRY WAS RESPONDED TO AND ALL SUPPORTING DOCUMENTS REGARDING OUR ACTIONS WERE FORWARDED TO STATE OF OREGON INSURANCE DIVISION.
Should I file a FINRA complaint against brokers like CHRISTOPHER WILLIAM HARPER?
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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