RedFlag, Allegation and/or Complaint against JEROME CHARLES PRENTICE
Disclosure #1 for JEROME PRENTICE
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- Event Date: 6/20/2008
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: WITH REGARD TO A FLEXIBLE PREMIUM VARIABLE ANNUITY PURCHASED IN DECEMBER 2007, CUSTOMER ALLEGES THAT HE WAS NOT AWARE NOR INFORMED BY THE RR THAT HIS IRA WAS BEING TRANSFERRED INTO A VARIABLE ANNUITY WITH SUBSTANTIAL RESTRICTIONS. CUSTOMER MAINTAINS, HAD EITHER OF THESE EXPLAINED TO HIM, HE WOULD NOT HAVE AGREED TO TRANSFER HIS IRA. CUSTOMER IS REQUESTING THAT THE VARIABLE ANNUITY CONTRACT BE RESCINDED.
- Damage Amount Requested: $94,223.15
- Arbitration Docket Number:
Should I file a FINRA complaint against brokers like JEROME CHARLES 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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