RedFlag, Allegation and/or Complaint against DIANA C CASEY
Disclosure #1 for DIANA CASEY
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- Event Date: 4/4/2011
- Disclosure Type: Regulatory
- Disclosure Resolution: Final
- Initiated By: STATE OF NEW YORK, INSURANCE DEPARTMENT
- Allegations: CORPORATE LICENSE HAD EXPIRED. SUB LICENSE HAD NOT. FINE PAID TO NYS DEPARTMENT OF INSURANCE.
- Resolution: Stipulation and Consent
- Sanction Details :: Sanctions: Civil and Administrative Penalty(ies)/Fine(s)
- Sanction Details :: Amount: $750.00
Should I file a FINRA complaint against brokers like DIANA C CASEY?
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.
Frequently Asked Questions About DIANA C CASEY
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Originally posted on November 17, 2022 @ 8:57 pm
