RedFlag, Allegation and/or Complaint against SHIRLEY A WEBER
Disclosure #1 for SHIRLEY WEBER
- Event Date: 7/20/2002
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: THE CLIENT ALLEGES THAT THE AGENT(S) INDUCED HER TO PURCHASE UNSIUTABLE MUTUAL FUNDS AND VARIABLE ANNUINTY INVESTMENTS IN JUNE OF 2000. SHE ALLEGES THAT SHE SUSTAINED SIGNIFICANT LOSSES DUE TO THESE TRANSACTIONS.
- Damage Amount Requested: $220,000.00
- Settlement Amount: $80,000.00
- Arbitration Claim File Detail: 02-03831
- Arbitration Docket Number:
- Broker Comment: NASD ARBITRATION IS PENDING.
Should I file a FINRA complaint against brokers like SHIRLEY A WEBER?
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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