RedFlag, Allegation and/or Complaint against PETER ANTHONY DEROSA
Disclosure #1 for PETER DEROSA
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- Event Date: 7/23/2003
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: WITH REGARD TO A VARIABLE ANNUITY PURCHASED IN MAY 2000, THE CUSTOMER’S DAUGHTERS ALLEGE THE CUSTOMER ONLY REQUESTED A NAME CHANGE ON HER EXISTING VARIABLE ANNUITY AND WAS NOT INFORMED THAT SHE WAS PURCHASING A NEW POLICY WITH A NEW SURRENDER CHARGE PERIOD TO ACCOMPLISH THE NAME CHANGE. THE CUSTOMER REQUESTS A SURRENDER OF THE ANNUITY.
- Damage Amount Requested: $6,040.25
- Arbitration Docket Number:
- Broker Comment: UPON REVIEW OF POLICY RECORDS AND DATA, THE COMPANY DID NOT FIND SUFFICIENT EVIDENCE TO SUPPORT THE CUSTOMERS CLAIMS. NO OFFER OF COMPENSATION HAS BEEN MADE TO THE CUSTOMER.
Should I file a FINRA complaint against brokers like PETER ANTHONY DEROSA?
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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