RedFlag, Allegation and/or Complaint against William Kyle Gantt
Disclosure #1 for William Gantt
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- Event Date: 1/19/2016
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: The client alleges charges and fees of a protective O share annuity were not disclosed when the annuity was purchased in October 2013.
- Damage Amount Requested: $5,387.24
- Settlement Amount: $7,960.93
- Arbitration Docket Number:
- Broker Comment: After completion of the firm’s investigation, client’s claim was resolved in the amount of $7,960.93. Financial advisor contributed to the resolution in the amount of $3,980.00.
Should I file a FINRA complaint against brokers like William Kyle Gantt?
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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