RedFlag, Allegation and/or Complaint against LEO KONRAD SPANNER
Disclosure #1 for LEO SPANNER
-
- Event Date: 7/13/2001
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: [CUSTOMER ALLEGED THAT THE MUTUAL FUNDS I SOLD HIM WERE UNSUITABLE AND THAT PFS INVESTMENTS WAS RESPONSIBLE FOR HIS MARKET LOSS AND THE LOSS OF ANNUITIZATION VALUE IN THE FIXED ANNUITY HE LIQUIDATED TO BUY THE MUTUAL FUNDS.
- Damage Amount Requested: $4,500.00
- Settlement Amount: $13,413.66
- Arbitration Docket Number:
Should I file a FINRA complaint against brokers like LEO KONRAD SPANNER?
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.
Frequently Asked Questions About LEO KONRAD SPANNER
What is LEO SPANNER's Central Registration Depository (CRD) Number?
Which firm is LEO KONRAD SPANNER associated with?
Where is LEO SPANNER located?
Where can I find more details about LEO SPANNER's Investment Firm?
Are there any disclosures, allegations or complaints filed against LEO KONRAD SPANNER?
Where can I download a detailed FINRA report for LEO SPANNER?
Is it safe to do business with LEO KONRAD SPANNER?
All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. BrokerAudit.com does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. BrokerAudit.com intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.
