RedFlags, Allegations and Complaints against EUGENE JOHN FLOCK
Disclosure #1 for EUGENE FLOCK
-
- eventDate: 10/27/2005
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Closed-No Action
- Disclosure Detail :: Allegations: IN AUGUST 10, 2004, 5485 SHARES OF HONEYWELL STOCK WAS TRANSFERED IN KIND TO CLIENTS NON-QUALIFIED ACCOUNT FROM THE CLIENT’S QUALIFIED ACCOUNT. BASED ON THIS DISTRIBUTION REQUEST THE CLIENT WAS ASSESSED TAX LIABILITY FOR THE VALUE OF THE SHARES TRANSFERED.
- Damage Amount Requested: $30,587.00
- Arbitration Docket Number:
- Broker Comment: AMENDED SETTLEMENT OFFER WAS SENT TO CLIENT AND VALID UNTIL 9/28/2007. NO RESPONSE FROM CLIENT, CLOSING DUE TO NO ACTION.
Should I file a FINRA complaint against brokers like EUGENE JOHN FLOCK?
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 EUGENE JOHN FLOCK’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 EUGENE JOHN FLOCK
What is EUGENE FLOCK’s Central Registration Depository (CRD) Number?
Which firm is EUGENE JOHN FLOCK associated with?
SECURITIES AMERICA, INC.
Where is EUGENE FLOCK located?
12400 BITTERSWEET COMMONS BLVD, GRANGER, IN, 46530
Where can I find more details about EUGENE FLOCK’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/10205 to read a detailed report for SECURITIES AMERICA, INC.
Are there any disclosures, allegations or complaints filed against EUGENE JOHN FLOCK?
Where can I download a detailed FINRA report for EUGENE FLOCK?
Is it safe to do business with EUGENE JOHN FLOCK?
We’re not sure. Please research EUGENE FLOCK’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:43 am
The views and opinions expressed in these articles are those of the source BrokerAudit.com and do not necessarily reflect the official position of ‘Skeptic Files’, which shall not be held liable for any inaccuracies presented. The information provided within this article is for general informational purposes only. While we try to keep the information up-to-date and correct, there are no representations or warranties, express or implied, about the completeness, accuracy, reliability, suitability or availability of the information in this article for any purpose.
This article is syndicated automatically through a third-party agency from BrokerAudit.com.
To view the original article at BrokerAudit.com, you can visit https://www.brokeraudit.com/eugene-john-flock-securities-america-inc/.
