RedFlag, Allegation and/or Complaint against RICHARD ANTHONY BALCH
Disclosure #1 for RICHARD BALCH
- Event Date: 8/20/2013
- Disclosure Type: Customer Dispute
- Resolution: Denied
- Allegations: THE CUSTOMER ALLEGES THE REPRESENTATIVE MISREPRESENTED THE DEATH BENEFIT OF THE VARIABLE ANNUITY HE PURCHASED IN DECEMBER 2011.
- Damage Amount Requested: $21,000.00
- Arbitration Docket Number:
- Broker Comment: RICHARD DID NOT MAKE ANY RECOMMENDATIONS AND ONLY SAT IN MEETINGS AS BACK-UP.
Should I file a FINRA complaint against brokers like RICHARD ANTHONY BALCH?
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 @ 9:44 pm