RedFlag, Allegation and/or Complaint against CLIFFORD D ALLEN
Disclosure #1 for CLIFFORD ALLEN
- Event Date: 4/1/2010
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: TIME FRAME: NOVEMBER 2, 1994 TO JUNE 4, 2004 THE CLIENT ALLEGES THAT HER INSTRUCTIONS PURSUANT TO A COURT ORDER TO HAVE BOTH HER HUSBAND AND HER SIGNATURE ON HER CHILDREN’S ACCOUNTS WERE NOT IMPLEMENTED AND THEREFORE, TWO WITHDRAWALS WERE PERMITTED AGAINST HER WISHES. THE ALLEGED DAMAGES ARE ESTIMATED TO BE IN EXCESS OF $5,000.00.
- Arbitration Docket Number:
Should I file a FINRA complaint against brokers like CLIFFORD D ALLEN?
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 @ 9:04 pm