RedFlags, Allegations and Complaints against CODY GEORGE MARES
Disclosure #1 for CODY MARES
- eventDate: 9/30/2004
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Closed-No Action
- Disclosure Detail :: Allegations: CLIENT ALLEGES I DID NOT ADEQUATELY EXPLAIN FEES AND INVESTMENT RATINALE PRIOR TO OR AT THE TIME OF TRANSACTION.
- Damage Amount Requested: $5,000.00
- Arbitration Docket Number:
- Broker Comment: THE FIRM FOUND THAT, THROUGH THE USE OF INVESTMENT LITERATURE AND CLIENT MEETINGS, I DID ADEQUATELY EXPLAIN FEES AND INVESTMENT RATIONALE TO THE CLIENT PRIOR TO MAKING CHANGES IN HER PORTFOLIO.
Should I file a FINRA complaint against brokers like CODY GEORGE MARES?
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 CODY GEORGE MARES’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 CODY GEORGE MARES
What is CODY MARES’s Central Registration Depository (CRD) Number?
Which firm is CODY GEORGE MARES associated with?
LPL FINANCIAL LLC
Where is CODY MARES located?
W6416 GREENVILLE DRIVE, GREENVILLE, WI, 54942
Where can I find more details about CODY MARES’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/6413 to read a detailed report for LPL FINANCIAL LLC
Are there any disclosures, allegations or complaints filed against CODY GEORGE MARES?
Where can I download a detailed FINRA report for CODY MARES?
Is it safe to do business with CODY GEORGE MARES?
We’re not sure. Please research CODY MARES’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:44 am
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