RedFlags, Allegations and Complaints against BURTON HAROLD MOSS
Disclosure #1 for BURTON MOSS
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- eventDate: 3/9/1995
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: BREACH OF FIDUCIARY DUTY. THE CLIENT PURCHASED AN ANNUITY IN 1985. IN 1991 THE INSURANCE COMPANY FAILED. THE CLIENT CLAIMS I SHOULD HAVE TOLD THEM TO TAKE A 12% SURRENDER CHARGE AND CHANGE INSURANCE COMPANIES.
- Damage Amount Requested: $135,850.00
- Settlement Amount: $200,000.00
- Arbitration Docket Number:
- Broker Comment: A SECOND TRIAL FOR THE SAME ISSUE THAT WAS ADDRESSED IN THE FIRST TRIAL HELD IN APRIL 1997 WAS HELD ON 1/3-1/7/2000. IN THE FIRST TRIAL THE JURY FOUND THAT I DID NOT VIOLATE A FIDUCIARY DUTY. I BELIEVE THE SECOND TRIAL WOULD HAVE ENDED WITH THE SAME RESULT, HOWEVER PRIOR TO ISSUING CLOSING ARGUMENTS & JURY INSTRUCTIONS, THE INSURANCE COMPANY REPRESENTING ME SETTLED THE CASE UNDER PROTEST FROM ME. THERE WAS NO ADMISSION OF GUILT BY ME. SINCE THE INSURANCE COMPANY PAID THE COST OF THIS FOR 5 YRS. AND WAS CONCERNED WITH THE UNCERTAINTY OF A JURY DECISION, THEY WANTED TO END IT WHEN THE PLAINTIFFS REDUCED THEIR DEMANDS.
Should I file a FINRA complaint against brokers like BURTON HAROLD MOSS?
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.
Update – 2022.11.15If you have suffered investment losses that may have been caused by BURTON HAROLD MOSS’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!
Frequently Asked Questions About BURTON HAROLD MOSS
What is BURTON MOSS’s Central Registration Depository (CRD) Number?
Which firm is BURTON HAROLD MOSS associated with?
SAGEPOINT FINANCIAL, INC.
Where is BURTON MOSS located?
2300 GLADES ROAD, BOCA RATON, FL, 33431
Where can I find more details about BURTON MOSS’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/133763 to read a detailed report for SAGEPOINT FINANCIAL, INC.
Are there any disclosures, allegations or complaints filed against BURTON HAROLD MOSS?
Where can I download a detailed FINRA report for BURTON MOSS?
Is it safe to do business with BURTON HAROLD MOSS?
We’re not sure. Please research BURTON MOSS’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:39 am
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