RedFlag, Allegation and/or Complaint against GERALD DAVID ROTH
Disclosure #1 for GERALD ROTH
- Event Date: 5/9/2022
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: Client alleged variable annuity subaccount reallocation did not take place as requested in April 2022.
- Settlement Amount: $62,458.92
- Arbitration Docket Number:
Should I file a FINRA complaint against brokers like GERALD DAVID ROTH?
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 @ 8:42 pm