RedFlag, Allegation and/or Complaint against PAMELA ANN STEVENS
Disclosure #1 for PAMELA STEVENS
- Event Date: 10/11/2004
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: CLIENT ALLEGES THAT SHE LIQUIDATED STOCKS AND TRANSFERRED FUNDS BECAUSE OF \MIS INFORMATION THAT (THE BROKER) PROVIDED (HER) WITH.\
- Damage Amount Requested: $36,000.00
- Settlement Amount: $11,250.00
- Arbitration Docket Number:
- Broker Comment: CONTRARY TO WRITTEN AND VERBAL WARNINGS FROM THE BROKER, THE CLIENT GAVE WRITTEN INSTRUCTIONS TO SELL STOCKS AND WIRE FUNDS TO SETTLE A SUBSTANTIAL INHERITANCE FROM A FORMER BUSINESS ASSOCIATE OVERSEAS. THE CLAIM WAS A SCAM AND THE CLIENT RECEIVED RESTITUTION FOR HER POOR JUDGMENT, NOT FOR ANY BROKER \MIS-INFORMATION\.
Should I file a FINRA complaint against brokers like PAMELA ANN STEVENS?
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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Originally reported on November 17, 2022 @ 8:59 pm