RedFlag, Allegation and/or Complaint against THOMAS A PERKS
Disclosure #1 for THOMAS PERKS
- Event Date: 5/9/2017
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: The clients allege that they should have been given knowledge regarding the impact that would result from changes made to their 401(k) plan.
- Settlement Amount: $45,885.00
- Arbitration Docket Number:
- Broker Comment: AFTER RESEARCH BY THE FIRM, THE FIRM FOUND THAT THE REPRESENTATIVE’S ACTIONS WERE APPROPRIATE. THE SETTLEMENT IS NOT INDICATIVE OF ANY WRONGDOING.
Should I file a FINRA complaint against brokers like THOMAS A PERKS?
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 @ 9:30 pm