RedFlag, Allegation and/or Complaint against ELIZABETH A DEANE
Disclosure #1 for ELIZABETH DEANE
- Event Date: 10/8/2009
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: TIME FRAME: OCTOBER 1, 2001 TO OCTOBER 8, 2009 THE CLIENT ALLEGES THAT HER FINANCIAL ADVISORS MISREPRESENTED THE INVESTMENT IN GENERAL MOTORS PREFERRED AS COMPLETELY SAFE.
- Damage Amount Requested: $16,250.00
- Arbitration Docket Number:
- Broker Comment: CLIENT STATED IN FURTHER CONVERSATIONS REGARDING HIS WRITTEN COMPLAINT THAT HIS ISSUE WAS WITH THE ORIGINAL BROKER WHO PURCHASED THE SECURITIES AND NOT THE PRESENT BROKERS OF RECORD ON THE ACCOUNT AS HE IMPLIED IN HIS COMPLAINT LETTER.
Should I file a FINRA complaint against brokers like ELIZABETH A DEANE?
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 @ 8:59 pm