RedFlag, Allegation and/or Complaint against IRIS GALLEGO
Disclosure #1 for IRIS GALLEGO
- Event Date: 1/10/2011
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: THE CLAIMANT ALLEGES THAT THE PURCHASE OF A WASHINGTON MUTUAL BOND WAS UNSUITABLE AND SAFEKEEPING FEES WERE EXCESSIVE. THE BOND PURCHASE WAS MADE IN APRIL 2007.
- Damage Amount Requested: $125,000.00
- Settlement Amount: $57,500.00
- Arbitration Docket Number:
- Broker Comment: THE FACTS AND ACTIONS GIVING RISE TO THIS CLAIM OCCURRED AT A BANK, NOT A BROKER-DEALER, AND THE ACCOUNT WAS OWNED BY AN INDIVIDUAL, NOT THE TRUST. THE RR DID NOT CONTRIBUTE TO THE SETTLEMENT.
Should I file a FINRA complaint against brokers like IRIS GALLEGO?
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 @ 9:06 pm