RedFlag, Allegation and/or Complaint against RICKEY LES ALLMAN
Disclosure #1 for RICKEY ALLMAN
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- Event Date: 9/23/2013
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: CUSTOMER ALLEGES THAT I MISTAKENLY ROLLED OVER HIS RETIREMENT PLAN TO A ROTH IRA INSTEAD OF A TRADITIONAL IRA ACCOUNT, WHICH CAUSED HIM SUBSTANTIAL TAX LIABILITY.
- Damage Amount Requested: $14,613.00
- Settlement Amount: $800.00
- Arbitration Docket Number:
- Broker Comment: THE MATTER WAS SETTLED BY RECHARACTERIZING THE TRADE AND PAYING THE TAX PREPARER FEES FOR TO FILE THE CUSTOMER’S TAX RETURN.
Should I file a FINRA complaint against brokers like RICKEY LES ALLMAN?
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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