RedFlags, Allegations and Complaints against DOUGLAS ALAN CAIN
Disclosure #1 for DOUGLAS CAIN
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- Event Date: 3/20/1995
- Disclosure Type: Criminal
- Resolution: Final Disposition
- criminalCharges :: Charges: ONE COUNT – FELONY DEALING IN A SCHEDULE 1 SUBSTANCE AMENDED TO A FELONY POSSESSION OF SCHEDULE 1 CONTROLLED SUBSTANCE – PLEAD GUILTY ONE COUNT – FELONY RESISTING LAW ENFORCEMENT – PLEAD GUILTY ONE COUNT – MISDEMEANOR CRIMINAL RECKLESSNESS – PLEAD GUILTY
- Charge Type: FELONY
- Disposition: CONVICTED OF ALL OF THE CHARGES WHICH WERE ENTERED AS MISDEMEANOR CONVICTIONS. PUT ON 1 YEARS PROBATION 5/30/99.
- Broker Comment: THESE CHARGES OCCURRED WHEN I WAS A SENIOR IN HIGH SCHOOL SHORTLY AFTER I TURNED 18. I HAD NO IDEA AT THE TIME WHAT THE REPERCUSSIONS WOULD BE. I WOULD DO ANYTHING TO CHANGE WHAT HAPPENED WHEN I WAS A SENIOR. HOWEVER, I KNOW THAT I CANNOT SO I HAVE DONE EVERYTHING I POSSIBLY CAN TO BETTER MYSELF AND MOVE FORWARD. I JUST ASK THAT WHOEVER READS MY CHARGES, THAT THEY PLEASE TAKE INTO CONSIDERATION MY YOUNG AGE, THE FACT THAT IT WAS ALMOST 13 YEARS AGO, AND WHAT I HAVE ACCOMPLISHED SINCE THEN. I WENT TO COLLEGE AND GRADUATED WITH HONORS, A 3.9 GPA. I HAVE EXCELLED AT MY JOB AND RECEIVED NUMEROUS PROMOTIONS. I MADE A BIG MISTAKE AND TRULY REGRET WHAT HAPPENED 13 YEARS AGO. I JUST ASK THAT YOU PLEASE GIVE ME A CHANCE TO FURTHER PURSUE MY CAREER. THIS FIELD IS SOMETHING I HAVE ALWAYS WANTED TO PURSUE AND SINCERELY ASK THAT YOU WON’T HOLD THESE EVENTS AGAINST ME.
Should I file a FINRA complaint against brokers like DOUGLAS ALAN CAIN?
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 DOUGLAS ALAN CAIN’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 DOUGLAS ALAN CAIN
What is DOUGLAS CAIN’s Central Registration Depository (CRD) Number?
Which firm is DOUGLAS ALAN CAIN associated with?
CHARLES SCHWAB & CO., INC.
Where is DOUGLAS CAIN located?
4410 West Boy Scout Blvd., Tampa, FL, 33607
Where can I find more details about DOUGLAS CAIN’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/5393 to read a detailed report for CHARLES SCHWAB & CO., INC.
Are there any disclosures, allegations or complaints filed against DOUGLAS ALAN CAIN?
Where can I download a detailed FINRA report for DOUGLAS CAIN?
Is it safe to do business with DOUGLAS ALAN CAIN?
We’re not sure. Please research DOUGLAS CAIN’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:43 am
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