RedFlag, Allegation and/or Complaint against STEPHEN PETER REDMAN
Disclosure #1 for STEPHEN REDMAN
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- Event Date: 2/23/1999
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: THE PURCHASE OF A VARIABLE ANNUITY WAS UNSUITABLE. CLAIMED DAMAGES OF $89,000. PAINEWEBBER RECEIVED THE CLAIM ON MAY 18, 1998.
- Damage Amount Requested: $89,000.00
- Settlement Amount: $25,000.00
- Arbitration Claim File Detail: 97-06010
- Arbitration Docket Number:
- Broker Comment: PAINEWEBBER SETTLED THE MATTER FOR $25,000. THE INVESTMENT WAS MADE AFTER CAREFUL AND THORUGH CONSIDERATION OF THE CLIENT`S NEEDS AND OBJECTIVES AND WITH FULL PRIOR DISCUSSION AND AGREEMENT BY THE COURT APPOINTED REPRESENTATIVE (CURETIX) OF THE CLIENT. IT WAS A COMPLETELY APPROPRIATE INVESTMENT.
Should I file a FINRA complaint against brokers like STEPHEN PETER REDMAN?
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 @ 8:59 pm
