RedFlag, Allegation and/or Complaint against WILLIAM HUDDLESTON
Disclosure #1 for WILLIAM HUDDLESTON
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- Event Date: 7/16/2008
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: WITH REGARD TO THE PURCHASE OF A VARIABLE ANNUITY IN OR AROUND FEBRUARY OF 2007, THE CUSTOMER ALLEGES THAT HE TOLD HIS AGENT THAT HE WANTED A CONSERVATIVE INVESTMENT AND ALLEGES THAT THE AGENT LOST HIM MONEY. CUSTOMER ALSO ALLEGES THAT THE AGENT TOLD HIM THAT HIS MONEY WOULD NOT BE TIED UP BUT FOUND OUT THAT THERE WAS A SUBSTANTIAL PENALTY IF HE WITHDREW MONEY, WHICH WAS NOT EXPLAINED TO HIM.
- Arbitration Docket Number:
- Broker Comment: BASED ON THE COMPANY’S GOOD FAITH ESTIMATE IT WAS DETERMINED THAT THE COMPENSATORY DAMAGES COULD BE MORE THAN $5,000.
Should I file a FINRA complaint against brokers like WILLIAM HUDDLESTON?
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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