RedFlag, Allegation and/or Complaint against Kimberly Sue Dwyer
Disclosure #1 for Kimberly Dwyer
- Event Date: 11/6/2019
- Disclosure Type: Customer Dispute
- Resolution: Denied
- Allegations: The customer alleged when RR sold her a VUL in March 2019 she misrepresented that the cash value would be invested in market-based subaccounts and failed to disclose surrender charges.
- Damage Amount Requested: $43,000.00
- Arbitration Docket Number:
Should I file a FINRA complaint against brokers like Kimberly Sue Dwyer?
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 @ 8:34 pm