RedFlag, Allegation and/or Complaint against DAVID JAMES SCHELHORN
Disclosure #1 for DAVID SCHELHORN
- Event Date: 11/19/2013
- Disclosure Type: Regulatory
- Resolution: Final
- Initiated By: ICE FUTURES US
- Allegations: ENGAGED IN CONDUCT OR PRACTICES INCONSISTENT WITH JUST AND EQUITABLE PRINCIPLES OF TRADE OR CONDUCT DETRIMENTAL TO THE BEST INTERESTS OF THE EXCHANGE.
- Resolution: Settled |Sanctions: Suspension |Registration Capacities Affected: NOT ALLOWED TO TRADE
- Duration: TWO MONTHS
- Start Date: 12/31/2013
- End Date: 2/28/2014
Should I file a FINRA complaint against brokers like DAVID JAMES SCHELHORN?
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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