RedFlags, Allegations and Complaints against ROBERT BRUCE PRICE
Disclosure #1 for ROBERT PRICE
- Event Date: 10/27/2004
- Disclosure Type: Regulatory
- Resolution: Final
- iaCtgryType: 20
- Initiated By: DIVISION OF SECURITIES OF THE DEPARTMENT OF COMMERCE OF THE STATE OF UTAH.
- Allegations: INDIVIDUAL WAS AN AGENT OF A FIRM THAT SOLD VIATICAL CONTRACTS. UPON ADVICE OF COUNSEL, THE CONTRACTS WERE NOT REGISTERED AS SECURITIES IN THE STATE OF UTAH. THE UTAH DIVISION OF SECURITIES ALLEGED THAT THE FIRM AND INDIVIDUAL VIOLATED UTAH SECURITIES LAW IN CONNECTION WITH SALES OF THE CONTRACTS.
- Resolution: Stipulation and Consent |Sanctions: Cease and Desist
- Broker Comment: THE UTAH SECURITIES DIVISION ALLEGED THAT APPLICANT AND OTHER SALES AGENTS VIOLATED THE ANTI-FRAUD PROVISIONS, LICENSING PROVISIONS AND REGISTRATION PROVISIONS OF THE UTAH SECURITIES ACT. APPLICANT ENTERED INTO THE STIPULATION AND CONSENT ORDER WITHOUT ADMITTING TO THE ALLEGATIONS SET FORTH THEREIN.
Should I file a FINRA complaint against brokers like ROBERT BRUCE PRICE?
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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