RedFlag, Allegation and/or Complaint against NATHANAEL STEPHEN OTT
Disclosure #1 for NATHANAEL OTT
- Event Date: 6/7/2010
- Disclosure Type: Customer Dispute
- Resolution: Settled
- Allegations: CUSTOMER ALLEGES WRITING RR MISREPRESENTED THE MANAGED ACCOUNT SHE ORIGINALLY PURCHASED IN JAN. 2007. ORIGINAL MANAGED ACCOUNT WAS CLOSED IN SEPT. 2007. CUSTOMER ALLEGES SUBSEQUENT RR SOLD ANOTHER MANAGED ACCOUNT THAT WAS UNSUITABLE IN OCT. 2007. FIRM REIMBURSED ADVISORY FEES (TOTALING $3,983.67) AS A GOODWILL GESTURE.
- Damage Amount Requested: $17,248.41
- Settlement Amount: $3,983.67
- Arbitration Docket Number:
Should I file a FINRA complaint against brokers like NATHANAEL STEPHEN OTT?
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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