RedFlag, Allegation and/or Complaint against WILLIAM A BASS
Disclosure #1 for WILLIAM BASS
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- Event Date: 12/10/1971
- Disclosure Type: Criminal
- Disclosure Resolution: Final Disposition
- Disclosure Detail :: Criminal Charges :: Charges: POSSESSION OF MARIJUANA WITH INTENT TO SELL
- Disposition: 3 MONTHS SUSPENDED SENTENCE, 18 MONTHS PROBATION
- Broker Comment: WHILE A 20 YEAR OLD SOPHOMORE IN COLLEGE, I WAS CONVICTED OF POSSESSION OF MARIJUANA WITH INTENT TO SELL. IN THE 40 YEARS SINCE THEN, I HAVE BEEN A LAW ABIDING CITIZEN. IN ADDITION, I RECEIVED EXECUTIVE ORDER #90C-66 FROM THE GOVERNOR OF THE STATE OF FLORIDA TO RESTORE MY CIVIL RIGHTS.
Should I file a FINRA complaint against brokers like WILLIAM A BASS?
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 @ 9:03 pm
