RedFlag, Allegation and/or Complaint against ROBERT MALCOM CAIN
Disclosure #1 for ROBERT CAIN
- Event Date: 8/18/2020
- Disclosure Type: Customer Dispute
- Resolution: Closed-No Action
- Allegations: COMPLAINANT ALLEGES FORGERY ON TWO FIXED ANNUITY APPLICATIONS AND THREE SURRENDER FORMS IN 2016 AND 2017.
- Damage Amount Requested: $7,476.02
- Arbitration Docket Number:
- Broker Comment: THIS SAME COMPLAINT WAS RECEIVED BY OUR PARENT COMPANY ON MAY 28 2021. THE PARENT COMPANY REVIEWED THE ALLEGATION AGAIN AND DID NOT FIND ANY EVIDENCE TO SUBSTANTIATE THE CLAIM.
Should I file a FINRA complaint against brokers like ROBERT MALCOM CAIN?
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 posted on November 17, 2022 @ 9:46 pm