RedFlag, Allegation and/or Complaint against Lisa Marie Vorce
Disclosure #1 for Lisa Vorce
- Event Date: 8/18/2016
- Disclosure Type: Civil
- Resolution: Final
- Initiated By: TMFS Holdings, LLC, TMFS Advisors, LLC and Financial Engines, Inc.
- Allegations: Breach of contract
- Resolution: Settled |Sanctions: Injunction
- Broker Comment: This was a breach of contract where I was found to divert assets from previous firm to Visionary Wealth Advisors. I was not found to have solicited. I was an assistant to the advisor when we changed firms. Case settled and dismissed with prejudice. I did not pay any settlement costs or attorney fees.
Should I file a FINRA complaint against brokers like Lisa Marie Vorce?
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 @ 8:40 pm