RedFlag, Allegation and/or Complaint against KELLY JOANNE TORRESIN
Disclosure #1 for KELLY TORRESIN
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- Event Date: 4/10/2014
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: CLIENT ALLEGED THAT REGISTERED REPRESENTATIVE MISINFORMED THE CLIENT AS TO THE CONTRIBUTION SOURCE IN HIS ACCOUNT THAT RESULTED IN MISSED CONTRIBUTIONS AND TAX DEFERRALS AS WELL AS INCORRECT REQUIRED MINIMUM DISTRIBUTION CALCULATIONS.
- Damage Amount Requested: $32,624.25
- Arbitration Docket Number:
- Broker Comment: THIS COMPLAINT IS UNFOUNDED. THIS WAS A HIGH LEVEL EMPLOYEE WHO DID NOT TAKE THE TIME TO CLEARLY UNDERSTAND THE BENEFITS THAT HIS COMPANY OFFERED AND THEN, YEARS LATER, LOOKED TO PLACE THE BLAME ON ME BECAUSE HE DID NOT TAKE FULL ADVANTAGE OF THE RETIREMENT PLANS OFFERED. THIS COMES DOWN TO PERSONAL ACCOUNTABILITY. HIS CLAIM OF $32,624.55 MOSTLY INCLUDES MONEY THAT HE DIDN’T DEFER AND INVEST IN HIS COMPANY’S RETIREMENT PLANS ($26,073.47 – BUT STILL RECEIVED), AND THE TAX SAVINGS ($6550.79) THAT HE DID NOT RECEIVE.
Should I file a FINRA complaint against brokers like KELLY JOANNE TORRESIN?
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
