ROBERT BRUCE PRICE at ALLSTATE FINANCIAL SERVICES, LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 5139471
ROBERT BRUCE PRICE is an Investment Adviser, associated with ALLSTATE FINANCIAL SERVICES, LLC located at CHARLOTTE, NC. ROBERT PRICE’s Central Registration Depository (CRD) number is 5139471 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

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.
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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.

Update - 2022.11.15If you have suffered investment losses that may have been caused by ROBERT BRUCE PRICE’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

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Frequently Asked Questions About ROBERT BRUCE PRICE

What is ROBERT PRICE's Central Registration Depository (CRD) Number?

5139471

Which firm is ROBERT BRUCE PRICE associated with?

ALLSTATE FINANCIAL SERVICES, LLC

Where is ROBERT PRICE located?

8439 DAVIS LAKE PKWY STE A3, CHARLOTTE, NC, 28269-0552

Where can I find more details about ROBERT PRICE's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/18272 to read a detailed report for ALLSTATE FINANCIAL SERVICES, LLC

Are there any disclosures, allegations or complaints filed against ROBERT BRUCE PRICE?

Yes. There are disclosures, allegations, or complaints filed against ROBERT BRUCE PRICE. Click here to view all details

Where can I download a detailed FINRA report for ROBERT PRICE?

Click here to download a detailed FINRA report for ROBERT PRICE

Is it safe to do business with ROBERT BRUCE PRICE?

We’re not sure. Please research ROBERT PRICE’s disclosures, allegations and complaints before taking a decision

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