RedFlag, Allegation and/or Complaint against JOHN GARDNER BEST
Disclosure #1 for JOHN BEST
- Event Date: 7/22/2009
- Disclosure Type: Customer Dispute
- Resolution: Denied
- Allegations: CLIENT IS CLAIMING THAT EX-HUSBAND’S WITHDRAWAL OF MONEY FROM HIS SOLELY OWNED ANNUITY CONTRACT FROM THEIR JOINT ACCOUNT SHOULD NOT HAVE BEEN ALLOWED BY THE BROKER WITHOUT HER AUTHORIZATION. (APRIL 2008)
- Damage Amount Requested: $44,500.00
- Arbitration Docket Number:
- Broker Comment: CLIENT’S COMPLAINT IS WITHOUT MERIT. THIS COMPLAINT DID NOT INVOLVE THE PURCHASE OR RECOMMENDATION OF ANY INVESTMENT PRODUCT. DUE TO A DIVORCE SITUATION, THE CLIENT WANTED DAMAGES EQUAL TO HALF OF A WITHDRAWAL THAT HER NOW EX-HUSBAND MADE FROM AN INDIVIDUALLY OWNED INVESTMENT. DAMAGES CLAIMED BY THE CLIENT WERE FULLY DENIED BY THE FIRM. I DENY ANY WRONGDOING.
Should I file a FINRA complaint against brokers like JOHN GARDNER BEST?
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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