RedFlag, Allegation and/or Complaint against KRISTEN JANE MAHAN
Disclosure #1 for KRISTEN MAHAN
- Event Date: 5/22/2015
- Disclosure Type: Customer Dispute
- Resolution: Settled
- Allegations: CLIENT ALLEGES TRADES WERE PLACED WITHOUT HIS AUTHORIZATION. (01/22/2014)
- Damage Amount Requested: $9,526.00
- Settlement Amount: $300.00
- Arbitration Docket Number:
- Broker Comment: This matter was settled with my approval, although I deny any and all allegations. The accommodation was a nominal reimbursement to the client of the $300 fee he paid his CPA to file the amended tax return.
Should I file a FINRA complaint against brokers like KRISTEN JANE MAHAN?
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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