RedFlag, Allegation and/or Complaint against WILLIAM SCOTT MURRAY
Disclosure #1 for WILLIAM MURRAY
- Event Date: 10/7/2013
- Disclosure Type: Regulatory
- Disclosure Resolution: Final
- Disclosure Detail :: DocketNumberFDA: LCB-1023-AP
- DocketNumberAAO: 1023
- Initiated By: INSURANCE COMMISSIONER CALIFORNIA
- Allegations: FAILURE TO NOTIFY DEPARTMENT OF A MISDEMEANOR CONVICTION
- Resolution: Order
- Sanction Details :: Sanctions: Revocation
- Broker Comment: FAILED TO PROVIDE NOTICE OF COURT ACTION TO CALIFORNIA DOI THROUGH OVERSIGHT OF REQUIREMENT. REACHED STIPULATION AND WAIVER AGREEMENT WITH CALIFORNIA DOI AND HAVE SUBMITTED PAYMENT OF $500 TO REIMBURSE THE INSURANCE COMMISSIONER FOR HIS COSTS IN EXAMINING RESPONDENTS CONDUCT IN THIS MATTER
Should I file a FINRA complaint against brokers like WILLIAM SCOTT MURRAY?
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 @ 7:57 pm