RedFlag, Allegation and/or Complaint against THOMAS J. NOTO
Disclosure #1 for THOMAS NOTO
- Event Date: 10/25/2008
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: CLIENT ALLEGES SHE PURCHASED A 2008 VARIABLE ANNUITY BASED ON THE AGENT’S REPRESENTATION THAT THE GUARANTEED INTEREST WAS 4%. CLIENT IS REQUESTING THE FIRM TO HONOR THE GUARANTEED 4% INTEREST OVER THE 5 YEAR POLICY TIME SINCE THIS IS WHAT SHE WAS PROMISED. DAMAGES ARE UNSPECIFIED.
- Arbitration Docket Number:
- Broker Comment: THE FIRM FOUND NO BASIS TO THE CUSTOMER’S COMPLAINT.
Should I file a FINRA complaint against brokers like THOMAS J. NOTO?
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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