RedFlag, Allegation and/or Complaint against DEBORAH LOUISE WOMACK
Disclosure #1 for DEBORAH WOMACK
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- Event Date: 7/18/2006
- Disclosure Type: Regulatory
- Disclosure Resolution: Final
- Initiated By: COMMONWEALTH OF VIRGINIA, COMMISSIONER OF INSURANCE, STATE CORPORATION COMMISSIUON BUREAU OF INSURANCE
- Allegations: ALLEGATION: ALLOWING AN UNLICENSED REPRESENTATIVE TO SOLICIT LIFE INSURANCE.
- Resolution: Settled
- Sanction Details :: Sanctions: Monetary/Fine
- Sanction Details :: Amount: $500.00
- Sanction Details: $500.00 FINE PAID – CERTIFIED CHECK. SETTLEMENT ORDER DATED 8-11-2006
- Broker Comment: I QUOTED LIFE POLICIES AND A REPRESENTATIVE COMPLETED THE APPLICATION. I WAS UNDER THE IMPRESSION ONCE THE QUOTE WAS COMPLETE SOMEONE ELSE COULD GATHER THE INFORMATION & COMPLETE THE APPLICATION. THIS HAPPENED ON ABOUT 3 POLICIES. ALL OTHERS POLICIES WRITTEN, I PERSONALLY COMPLETED THE APPLICATIONS.
Should I file a FINRA complaint against brokers like DEBORAH LOUISE WOMACK?
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 posted on November 17, 2022 @ 9:03 pm
