RedFlag, Allegation and/or Complaint against LUIS CHAVEZ
Disclosure #1 for LUIS CHAVEZ
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- Event Date: 6/22/2017
- Disclosure Type: Regulatory
- Disclosure Resolution: Final
- Initiated By: MARYLAND INSURANCE ADMIN.
- Allegations: INVESTGATOR FROM MARYLAND INSURANCE SHOWED UP TO MY OFFICE ON AUGUST 1, 2016 AND ASKED ME WHO LE CHAVEZ WAS (MY BROTHER) AND I MISUNDERSTOOD THE QUESTION SO I ANSWERED HE WAS MY COUSIN
- Resolution: Order
- Sanction Details :: Sanctions: Monetary Penalty other than Fines
- Sanction Details :: Amount: $250.00
Should I file a FINRA complaint against brokers like LUIS CHAVEZ?
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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