RedFlag, Allegation and/or Complaint against SHAWN P CRUZ
Disclosure #1 for SHAWN CRUZ
- Event Date: 4/11/2013
- Disclosure Type: Customer Dispute
- Resolution: Denied
- Allegations: MISREPRESENTATION
- Damage Amount Requested: $6,600.00
- Arbitration Claim File Detail: 13-01094
- Arbitration Docket Number:
- Broker Comment: SHAWN CRUZ WAS A SUBJECT OF THE CUSTOMER’S STATEMENT OF CLAIM FOR THIS ARBITRATION ALLEGING THAT HE WITH HIS MEMBER FIRM CONTRIBUTED TO THE SALES PRACTICE VIOLATIONS. ACCORDINGLY, CLAIMANT’S CLAIMS ARE DENIED IN THEIR ENTIRETY.
Should I file a FINRA complaint against brokers like SHAWN P CRUZ?
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 reported on November 17, 2022 @ 9:11 pm