RedFlag, Allegation and/or Complaint against STEVEN KEITH TANNER
Disclosure #1 for STEVEN TANNER
- Event Date: 10/26/2009
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: CLIENT ALLEGES TAX CONSEQUENCES DO NOT ACCOUNT FOR THE TOTAL LOSS ON HIS ACCOUNTS, AS EXPLAINED, AND WOULD LIKE A BETTER EXPLANATION OF WHAT HAPPENED TO THE MONEY. CLIENT ALSO ALLEGES THE TAX BENEFITS DESCRIBED BY REP WERE MISREPRESENTED AND MISLEADING.
- Damage Amount Requested: $55,600.00
- Arbitration Docket Number:
- Broker Comment: ASPECTS OF POLICY WERE PROPERLY DISCLOSED. POLICY WAS ISSUED WITH PROPER AUTHORIZATION FROM POLICYOWNER.
Should I file a FINRA complaint against brokers like STEVEN KEITH TANNER?
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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