RedFlag, Allegation and/or Complaint against MARK CHRISTOPHER MATTHES
Disclosure #1 for MARK MATTHES
- Event Date: 8/19/2007
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: CLIENT ALLEGES RR SHOULD HAVE KNOWN THE PREFERRED STOCK HE RECOMMENDED WAS GOING TO LOSE MONEY SO HE SHOULD HAVE NEVER RECOMMENDED IT.
- Damage Amount Requested: $50,000.00
- Arbitration Docket Number:
- Broker Comment: THE CLIENT WAS FULLY AWARE OF THE PRODUCT HE PURCHASED AND THE RISKS ASSOCIATED WITH THAT PRODUCT. THIS CLAIM IS UNFOUNDED AND WAS DENIED.
Should I file a FINRA complaint against brokers like MARK CHRISTOPHER MATTHES?
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 posted on November 17, 2022 @ 9:04 pm