RedFlag, Allegation and/or Complaint against JUVENAL RODRIGUES GASPAR
Disclosure #1 for JUVENAL GASPAR
- Event Date: 7/31/2006
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: CLIENT ALLEGES THAT GASPAR MOVED $141631.00 FROM HIS WACHOVIA INVESTMENT TO PFSI WITHOUT HIS AUTHORIZATION AND FOR HIS OWN GAIN.
- Damage Amount Requested: $8,251.00
- Settlement Amount: $9,500.00
- Arbitration Docket Number:
- Broker Comment: AFTER INVESTIGATING THE CLIENT’S ALLEGATIONS, THE FIRM FOUND THAT THE CLIENT AUTHORIZED THE TRANSFER OF HIS FUNDS FROM WACHOVIA TO PFSI, HOWEVER, THE FIRM DECIDED TO SETTLE THE COMPLAINT.
Should I file a FINRA complaint against brokers like JUVENAL RODRIGUES GASPAR?
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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