RedFlag, Allegation and/or Complaint against GLENN ROBERT WESTFALL
Disclosure #1 for GLENN WESTFALL
- Event Date: 7/15/2008
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: CUSTOMER ALLEGES THAT I MISINFORMED HER ABOUT THE FEATURES OF HER VARIABLE ANNUITY, WHICH CAUSED HER TO KEEP THE VARIABLE ANNUITY AND INCUR MARKET LOSSES ON IT.
- Damage Amount Requested: $20,000.00
- Settlement Amount: $14,000.00
- Arbitration Docket Number:
- Broker Comment: THE COMPLAINT WAS ORAL AND THE FIRM SETTLED WITH THE CLIENT ON OCTOBER 14, 2008 FOR $14000.00 WHICH IS A DISCLOSABLE EVENT ON MY U4.
Should I file a FINRA complaint against brokers like GLENN ROBERT WESTFALL?
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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