RedFlag, Allegation and/or Complaint against THOMAS WILLIAM BERTELSEN
Disclosure #1 for THOMAS BERTELSEN
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- Event Date: 7/7/2004
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: WITH REGARD TO A VARIABLE ANNUITY PURCHASED IN MARCH 2004, THE CUSTOMER ALLEGES THE TERMS AND FEATURES OF THE INVESTMENT WERE NEVER DISCLOSED AND/OR NOT ADEQUATELY REPRESENTED. THE CUSTOMER REQUESTS A REFUND OF HIS LOSSES.
- Damage Amount Requested: $9,363.59
- Arbitration Docket Number:
- Broker Comment: UPON REVIEW OF POLICY RECORDS AND DATA, NEW YORK LIFE DID NOT FIND SUFFICIENT EVIDENCE TO SUPPORT THE CUSTOMER’S CLAIMS. NO OFFER OF COMPENSATION HAS BEEN MADE TO THE CUSTOMER.
Should I file a FINRA complaint against brokers like THOMAS WILLIAM BERTELSEN?
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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