RedFlags, Allegations and Complaints against MICHAEL DEAN LISLE
Disclosure #1 for MICHAEL LISLE
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- Event Date: 4/14/2020
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: Client alleged the representative failed to reallocate her variable annuity from 100% stock to 25% stock in September 2019 as instructed.
- Damage Amount Requested: $13,757.72
- Broker Comment: The account referenced in this complaint was originally purchased through another broker/dealer. Rep met with client in August of 2019 and informed her that he could not make any changes to this account because he was not the rep of record. They discussed executing a broker change so that he could become rep of record. The broker change paperwork was completed in September of 2019 with another associate using a split rep code because rep was out of the country. There were no additional notes in the client’s file referencing asset allocation changes.
Disclosure #2 for MICHAEL LISLE
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- Event Date: 5/21/2004
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Closed-No Action
- Disclosure Detail :: Allegations: CUSTOMER ALLEGES HE WAS UNAWARE OF THE SLAES CHARGE TO PURCHASE \A\ SHARES MUTUAL FUNDS.
- Damage Amount Requested: $6,626.48
- Broker Comment: STATEMENT RECEIVED FROM AGENT OUTLINES THAT THEY DID DISCUSS THAT MUTUAL FUNDS ARE AVAILABLE IN SEVERAL CLASSES OF SHARES, REPRESENTING DIFFERENT WAYS TO PAY THE SALES CHARGE. DOCUMENTS SIGNED BY CUSTOMER FURTHER ACKNOWLEDGE THAT THIS WAS DISCUSSED AT TIME OF APPLICATION.
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Should I file a FINRA complaint against brokers like MICHAEL DEAN LISLE?
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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