RedFlag, Allegation and/or Complaint against EMILY ROVER GRACE
Disclosure #1 for EMILY GRACE
- Event Date: 4/5/2011
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Closed-No Action
- Disclosure Detail :: Allegations: THE CUSTOMER HAS ALLEGED THAT THE REGISTERED REPRESENTATIVE MISREPRESENTED HER ACCOUNTS’ PERFORMANCE IN RELATION TO THE S&P.
- Arbitration Docket Number:
- Broker Comment: THE FIRM AND THE REGISTERED REPRESENTATIVE BELIEVE THAT THE CUSTOMER’S ALLEGATION IS WITHOUT MERIT. THE CUSTOMER HAS BEEN UNRESPONSIVE TO THE FIRM’S ANSWER TO THE ALLEGATION AND THE FIRM NOW CONSIDERS THE MATTER CLOSED.
Should I file a FINRA complaint against brokers like EMILY ROVER GRACE?
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 @ 8:37 pm