RedFlag, Allegation and/or Complaint against NANCI LYNN ROTH
Disclosure #1 for NANCI ROTH
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- Event Date: 8/3/2020
- Disclosure Type: Financial
- Disclosure Resolution: Final
- Disclosure Detail :: Type: Compromise
- Disposition: Satisfied/Released
- Broker Comment: Due to unforseen health situation of my daughter and loss of spouse at the same time, I has no choice but to short sale my home.
Should I file a FINRA complaint against brokers like NANCI LYNN ROTH?
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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