RedFlag, Allegation and/or Complaint against ROSALIND LOY GADDY
Disclosure #1 for ROSALIND GADDY
- Event Date: 9/24/2010
- Disclosure Type: Judgment / Lien
- Disclosure Resolution:
- Disclosure Detail :: Judgment/Lien Amount: $8,871.50
- Judgment/Lien Type: Civil
- Broker Comment: DUE TO A MARITAL SEPARATION AND EVENTUALLY A DIVORCE, I WAS NOT FINANCIALLY ABLE T HONOR MY OBLIGATION. HOWEVER ON NUMEROUS OCCASIONS I ATTEMPTED TO MAKE OTHER FINANCING ARRANGEMENT WITH THE LIEN HOLDER AND EACH TIME I WAS DECLINED. THEREFORE, I WAS LEFT WITH NO OTHER ALTERNATIVE BUT TO RETURN THE VEHICLE AND ARRANGEMENTS WERE MADE.
Should I file a FINRA complaint against brokers like ROSALIND LOY GADDY?
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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