RedFlag, Allegation and/or Complaint against LANCE GERALD KROESCH
Disclosure #1 for LANCE KROESCH
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- Event Date: 4/14/2014
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: CUSTOMER ALLEGED THAT THE REPRESENTATIVE PROVIDED INCORRECT INFORMATION REGARDING THE TAX LIABILITY ASSOCIATED WITH THE 2013 FULL SURRENDER OF HIS THIRD PARTY VARIABLE ANNUITY.
- Settlement Amount: $13,710.00
- Arbitration Docket Number:
- Broker Comment: AFTER REVIEW, WITHOUT ADMITTING OR DENYING ANY WRONGDOING AND FOR THE SOLE PURPOSE OF SETLING THIS DISPUTE, ON JUNE 2, 2014, THE FIRM AGREED TO REIMBURSE 75% OF THE ADDITIONAL TAX LIABILITY INCURRED. THE SETTLEMENT AMOUNT WAS $13,710.00.
Should I file a FINRA complaint against brokers like LANCE GERALD KROESCH?
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 @ 8:41 pm
