RedFlag, Allegation and/or Complaint against ERIC DAVID VELASQUEZ
Disclosure #1 for ERIC VELASQUEZ
-
- Event Date: 8/22/2012
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: CUSTOMER ALLEGED THAT THE RR DID NOT ADVISE HER THAT HE WOULD LIQUIDATE HER MUTUAL FUND ACCOUNT IN ORDER TO USE THE FUNDS TO PURCHASE A FIXED IMMEDIATE ANNUITY. THE CUSTOMER FURTHER ALLEGES THAT BY LIQUIDATING HER MUTUAL FUND ACCOUNT SHE LOST MONEY.
- Damage Amount Requested: $50,000.00
- Arbitration Docket Number:
Should I file a FINRA complaint against brokers like ERIC DAVID VELASQUEZ?
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 ERIC DAVID VELASQUEZ
What is ERIC VELASQUEZ's Central Registration Depository (CRD) Number?
Which firm is ERIC DAVID VELASQUEZ associated with?
Where is ERIC VELASQUEZ located?
Where can I find more details about ERIC VELASQUEZ's Investment Firm?
Are there any disclosures, allegations or complaints filed against ERIC DAVID VELASQUEZ?
Where can I download a detailed FINRA report for ERIC VELASQUEZ?
Is it safe to do business with ERIC DAVID VELASQUEZ?
All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. BrokerAudit.com does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. BrokerAudit.com intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.
