RedFlag, Allegation and/or Complaint against EMANUEL MATTHEW MAINS
Disclosure #1 for EMANUEL MAINS
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- Event Date: 12/18/2000
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: CLIENT ALLEGES THAT HIS FA FAILED TO ADEQUATELY EXPLAIN MARGIN TO HIM PRIOR TO UTILIZING IT. TIMEFRAME DECEMBER 1999.
- Damage Amount Requested: $14,000.00
- Arbitration Docket Number:
- Broker Comment: I VEHEMENTLY DENY ANY WRONGDOING. I NEVER GAVE INVESTMENT ADVICE TO THE CUSTOMER DURING THE ENTIRE TIME HE WAS A PAINEWEBBER CLIENT. IN ADDITION, PAINEWEBBER REVIEWED AND DENIED CLIENT’S QUERY.
Should I file a FINRA complaint against brokers like EMANUEL MATTHEW MAINS?
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 @ 9:03 pm
