RedFlag, Allegation and/or Complaint against LOIS EDITH CARLSON
Disclosure #1 for LOIS CARLSON
- Event Date: 7/22/2009
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: TIME FRAME: MARCH 9, 2009 THE CLIENT ALLEGES THAT HIS FINANCIAL ADVISOR FAILED TO LIQUIDATE HIS CD AS REQUESTED WHICH RESULTED IN HIS INABILITY TO PURCHASE A NEW EQUITY POSITION AT THAT TIME. THE ALLEGED DAMAGES ARE ESTIMATED TO BE IN EXCESS OF $5,000.
- Damage Amount Requested: $5,000.00
- Arbitration Docket Number:
Should I file a FINRA complaint against brokers like LOIS EDITH CARLSON?
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 @ 9:01 pm