RedFlag, Allegation and/or Complaint against RUSSELL WARREN BROAD
Disclosure #1 for RUSSELL BROAD
-
- Event Date: 5/20/2020
- Disclosure Type: Customer Dispute
- Resolution: Denied
- Allegations: CLIENT ALLEGED SHE REQUESTED HER REGISTERED REPRESENTATIVE MOVE HER ENTIRE ACCOUNT BALANCE TO A FIXED INTEREST OPTION BUT IT WAS APPARENTLY NOT DONE AND SHE LOST APPROXIMATELY $10,000.
- Damage Amount Requested: $10,000.00
- Arbitration Docket Number:
- Broker Comment: THE FIRM INVESTIGATED THE CLIENT’S COMPLAINT, THERE WAS NO WRONGDOING FOUND ON MR. BROAD’S PART AND NO MERIT TO THE ALLEGATIONS, THE COMPLAINT WAS DENIED.
Should I file a FINRA complaint against brokers like RUSSELL WARREN BROAD?
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.
Frequently Asked Questions About RUSSELL WARREN BROAD
What is RUSSELL BROAD's Central Registration Depository (CRD) Number?
Which firm is RUSSELL WARREN BROAD associated with?
Where is RUSSELL BROAD located?
Where can I find more details about RUSSELL BROAD's Investment Firm?
Are there any disclosures, allegations or complaints filed against RUSSELL WARREN BROAD?
Where can I download a detailed FINRA report for RUSSELL BROAD?
Is it safe to do business with RUSSELL WARREN BROAD?
All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. BrokerAudit.com does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. BrokerAudit.com intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.
Originally reported on November 17, 2022 @ 9:05 pm
