RedFlag, Allegation and/or Complaint against NELSON CLIFFORD BAXLEY
Disclosure #1 for NELSON BAXLEY
- Event Date: 8/4/2016
- Disclosure Type: Financial
- Resolution: Final
- Type: Bankruptcy
- Disposition: Discharged
- Broker Comment: FILED CH 13 BK BECAUSE INCOME FROM SSN & COMMISSIONS NOT SUFFIECIENT TO MAKE DEBT PYMNTS. ALSO LAWSUIT FILED BY NEPHEW FOR $50,000 + DAMAGED FEES WOULD BE DEVASTATING IF ALLOWED TO GO TO JUDGMENT. CH13 WOULD STOP THE PROCESS ACCORDING TO ATTORNEY.
Should I file a FINRA complaint against brokers like NELSON CLIFFORD BAXLEY?
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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