RedFlag, Allegation and/or Complaint against WILLIAM MICHAEL MCCARTHY
Disclosure #1 for WILLIAM MCCARTHY
- Event Date: 4/26/2005
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: CLIENT ALLEGES FINANCIAL ADVISOR (FA) GROUP \FAILED TO UPHOLD OUR AGREEMENT TO LIMIT THE IMPACT OF TAXES ON THE PORTFOLIO\ AND FA GROUP \DECISIONS\ REGARDING THE ACCOUNT RESULTED IN DAMAGES. ALLEGED DAMAGES: ESTIMATE TO EXCEED $5000
- Settlement Amount: $7,389.21
- Arbitration Docket Number:
- Broker Comment: I AM INCLUDED IN THIS COMPLAINT BECAUSE I AM ONE OF SEVERAL MEMBERS OF A TEAM OF REGISTERED REPRESENTATIVES. HOWEVER, I HAD NO PERSONAL DEALING WITH THIS CUSTOMER.
Should I file a FINRA complaint against brokers like WILLIAM MICHAEL MCCARTHY?
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 posted on November 17, 2022 @ 9:04 pm