RedFlag, Allegation and/or Complaint against JEFFREY ALLEN PRENTICE
Disclosure #1 for JEFFREY PRENTICE
- Event Date: 6/24/2014
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: CLIENT ALLEGES PRODUCT IS UNSUITABLE FOR HIS INVESTMENT NEEDS.
- Damage Amount Requested: $21,837.32
- Arbitration Docket Number:
- Broker Comment: CHARGES AND EXPENSES WERE PROPERLY DISCLOSED. NO BASIS FOR REQUEST TO WAIVE SURRENDER CHARGES AND PENALTIES IF CLIENT CHOOSES TO SURRENDER CONTRACT.
Should I file a FINRA complaint against brokers like JEFFREY ALLEN PRENTICE?
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 @ 8:39 pm