RedFlag, Allegation and/or Complaint against WESLEY M SHOCKLEY
Disclosure #1 for WESLEY SHOCKLEY
- Event Date: 9/12/2004
- Disclosure Type: Criminal
- Disclosure Resolution: Final Disposition
- Disclosure Detail :: Criminal Charges :: Charges: ONE COUNT PETTY LARCENY, YAKIMA MUNICIPAL ORDINANCE 6.68.050; MISDEMEANOR; NOT GUILTY
- Charge Type: MISDEMEANOR
- Disposition: CASE DISMISSED/CLOSED 11/29/2004; BAIL FORFEITURE/$500.00 PAID 10/27/2004
- Broker Comment: THIS MATTER DID NOT INVOLVE ANY FUNDS OR SECURITIES. IN ACCORDANCE WITH THE RULES OF THIS JURISDICTION, THE DISPOSITION OF \CLOSED\ IS EQUIVALENT TO A DISMISSAL. ANY QUESTIONS MAY BE REFERRED TO THE COURT CLERK AT 509-575-3050.
Should I file a FINRA complaint against brokers like WESLEY M SHOCKLEY?
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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