RedFlag, Allegation and/or Complaint against RAUDEL FLORES
Disclosure #1 for RAUDEL FLORES
- Event Date: 4/16/2010
- Disclosure Type: Regulatory
- Resolution: Final
- Initiated By: TEXAS DEPARTMENT OF SAVINGS & MORTGAGE LENDING
- Allegations: FAILED TO FILE ANNUAL REPORT FOR CALENDAR YEAR 2009
- Resolution: Order |Sanctions: Civil and Administrative Penalty(ies)/Fine(s) |Amount: $250.00
Should I file a FINRA complaint against brokers like RAUDEL FLORES?
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 @ 8:47 pm