RedFlag, Allegation and/or Complaint against MARK ALLEN SCHLAFER
Disclosure #1 for MARK SCHLAFER
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- Event Date: 1/28/2013
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: CLIENT ALLEGES REPRESENTATIVE ASSISTED CLIENTS EX-WIFE, WHO IS ALSO THE REPRESENTATIVES COUSIN, IN WRONGFULLY TAKING FUNDS FROM THE CLIENT’S ACCOUNTS AND DEPOSITING THEM INTO THE EX-WIFE’S ACCOUNT(S).
- Damage Amount Requested: $200,000.00
- Arbitration Docket Number:
- Broker Comment: AFTER REVIEW OF THIS MATTER, THE FIRM CONCLUDED THAT THIS COMPLAINT WAS FRIVOLOUS. UPON THE FIRM’S REQUEST FOR DOCUMENTATION TO SUPPORT THE ALLEGATIONS, THE CLIENT STATED THAT HE DID NOT HAVE ANY DOCUMENTATION TO PROVIDE TO THE FIRM. WHILE THE CLIENT STILL BELIEVES THAT HIS EX-WIFE MAY HAVE WRONGFULLY TAKEN FUNDS FROM HIM, HE WAS SATISFIED WITH THE FIRM’S CONCLUSION THAT NO EVIDENCE COULD BE FOUND OR PRODUCED TO SUGGEST THAT THE REPRESENTATIVE ASSISTED IN ANY POSSIBLE WRONGDOING THAT MAY HAVE OCCURRED.
Should I file a FINRA complaint against brokers like MARK ALLEN SCHLAFER?
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 @ 9:44 pm
