RedFlag, Allegation and/or Complaint against ROGER L PRECOURT
Disclosure #1 for ROGER PRECOURT
- Event Date: 6/22/2005
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: WITH REGARD TO A VARIABLE ANNUITY PURCHASED IN MAY 2000, THE CUSTOMER ALLEGES THAT THE SALE WAS NOT IN HIS BEST INTEREST DUE TO HIS AGE AND RISK TOLERANCE. ADDITIONALLY, HE ALLEGES THAT THE VARIABLE ANNUITY WAS FUNDED FROM A MUTUAL FUND LIQUIDATION IN WHICH HE INCURRED A SALES CHARGE.
- Damage Amount Requested: $44,528.25
- Arbitration Docket Number:
Should I file a FINRA complaint against brokers like ROGER L PRECOURT?
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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