RedFlag, Allegation and/or Complaint against LUCAS JAMES WESTBY
Disclosure #1 for LUCAS WESTBY
- Event Date: 1/8/2009
- Disclosure Type: Customer Dispute
- Resolution: Denied
- Allegations: CLIENT ALLEGES RECOMMENDATION TO CHANGE THE SUBACCOUNT ALLOCATION IN HIS VARIABLE ANNUITY(VA) RESULTED IN LOSS OF VALUE IN HIS VA. VA WAS ISSUED 03/25/1993. FIRM FOUND NO EVIDENCE OF WRONGDOING.
- Damage Amount Requested: $35,900.69
- Arbitration Docket Number:
Should I file a FINRA complaint against brokers like LUCAS JAMES WESTBY?
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 LUCAS JAMES WESTBY
What is LUCAS WESTBY's Central Registration Depository (CRD) Number?
Which firm is LUCAS JAMES WESTBY associated with?
Where is LUCAS WESTBY located?
Where can I find more details about LUCAS WESTBY's Investment Firm?
Are there any disclosures, allegations or complaints filed against LUCAS JAMES WESTBY?
Where can I download a detailed FINRA report for LUCAS WESTBY?
Is it safe to do business with LUCAS JAMES WESTBY?
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.
Originally reported on November 17, 2022 @ 8:33 pm