RedFlag, Allegation and/or Complaint against MICHAEL STEVEN SZEJBACH
Disclosure #1 for MICHAEL SZEJBACH
- Event Date: 9/1/2010
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Closed-No Action
- Disclosure Detail :: Allegations: COMPLAINANT (MY SISTER & DAUGHTER OF DECEASED CUSTOMER) ALLEGES I USED MY FATHER’S FUND FOR MY BENEFIT. COMPLAINANT DOES NOT REPRESENT OUR DECEASED FATHER’S (CUSTOMER) ESTATE.
- Damage Amount Requested: $5,000.00
- Arbitration Docket Number:
- Broker Comment: FAMILY DISPUTE OVER DECEASED FATHER’S ESTATE. COMPLAINANT, NOT EXECUTOR/REP OF DECEASED CUSTOMER’S ESTATE, IS DEEMED NOT TO BE CUSTOMER PER NASD RULE 3070.
Should I file a FINRA complaint against brokers like MICHAEL STEVEN SZEJBACH?
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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