RedFlag, Allegation and/or Complaint against Theodore Albert Manly
Disclosure #1 for Theodore Manly
- Event Date: 6/15/2021
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: Customer alleges that he was misled when he was assured that the liquidation of his mutual fund shares to purchase a variable annuity in December 2020 would not create a taxable event. Client seeks reimbursement of accountant fees and taxes paid.
- Damage Amount Requested: $5,032.00
- Settlement Amount: $5,032.00
- Arbitration Docket Number:
Should I file a FINRA complaint against brokers like Theodore Albert Manly?
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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