RedFlag, Allegation and/or Complaint against REBECCA TAYLOR THOMAS
Disclosure #1 for REBECCA THOMAS
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- Event Date: 7/30/2020
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: The customer alleges unauthorized trading from February 20, 2020 until April 3, 2020.
- Settlement Amount: $613.91
- Arbitration Docket Number:
- Broker Comment: The firm’s investigation determined the accounts were managed utilizing outside money managers and the Financial Advisor was not responsible for the alleged trading. Due to an administrative error, there was a delay by the firm in terminating the managed account trait on the accounts.As a business accommodation, the firm provided an adjustment credit to resolve the dispute.
Should I file a FINRA complaint against brokers like REBECCA TAYLOR THOMAS?
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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