RedFlag, Allegation and/or Complaint against SCOTT JOHN FLETCHER
Disclosure #1 for SCOTT FLETCHER
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- Event Date: 6/8/2007
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: CLIENT ALLEGES THAT IN DECEMBER OF 2005, WHEN HE ESTABLISHED HIS 401(K) PLAN, HE REQUESTED AND I ASSURED HIM THAT THERE WERE NO CDSCS ATTACHED TO THE PLAN. HE FURTHER ALLEGES THAT I DID NOT DISCLOSE THE INTERNAL CHARGES ASSOCIATED WITH THE PLAN.
- Damage Amount Requested: $12,000.00
- Arbitration Docket Number:
- Broker Comment: THE FIRM RESOLVED THE CUSTOMER COMPLAINT BY PROVIDING THE CUSTOMER WITH A NEW REGISTERED REPRESENTATIVE FOR HIS RETIREMENT PLAN.
Should I file a FINRA complaint against brokers like SCOTT JOHN FLETCHER?
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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