RedFlag, Allegation and/or Complaint against REBECCA LYNN GLEASON
Disclosure #1 for REBECCA GLEASON
- Event Date: 10/5/2005
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Closed-No Action
- Disclosure Detail :: Allegations: [CUSTOMER STATES REGISTERED REP DID NOT TELL HIM ABOUT THE 3% UP-FRONT SALES CHARGE PERTAINING TO HIS ROLL-OVER. THEREFORE, [CUSTOMER FEELS HIS SHOULD BE REFUNDED THE SALES CHARGES. REGISTERD REP EMPHATICALLY STATES SHE DID TELL HIM ABOUT THE SALES CHARGES. [CUSTOMER FEELS HE WAS A VICTIM OF THEFT.
- Damage Amount Requested: $928.96
- Arbitration Docket Number:
Should I file a FINRA complaint against brokers like REBECCA LYNN GLEASON?
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 posted on November 17, 2022 @ 8:55 pm