RedFlag, Allegation and/or Complaint against TOBIE SHAWN FLORES
Disclosure #1 for TOBIE FLORES
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- Event Date: 1/11/2022
- Disclosure Type: Judgment / Lien
- Disclosure Resolution:
- Disclosure Detail :: Judgment/Lien Amount: $13,186.56
- Judgment/Lien Type: Tax
- Broker Comment: There were three amounts for three separate quarterly payroll tax filings for quarter 2 – 2020, quarter 2 – 2021 and quarter 3 – 2021. All quarterly tax filings are done through ADP and filing transmissions were done accurately. No other quarters are missing. There appears to be some sort of id error on the part of the IRS. Currently working to provide additional proof of payments made.
Should I file a FINRA complaint against brokers like TOBIE SHAWN FLORES?
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 @ 9:01 pm
