RedFlags, Allegations and Complaints against Gerald L LePain
Disclosure #1 for Gerald LePain
- eventDate: 7/17/2003
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Closed-No Action
- Disclosure Detail :: Allegations: CLIENT ALLEGES SHE INSTRUCTED ME TO INVEST $66,000 INTO A QUALIFIED PLAN. THE MONEY WAS INVESTED IN A NONQUALIFIED PLAN.
- Damage Amount Requested: $33,000.00
- Arbitration Docket Number:
- Broker Comment: DARLENE CHEVALIER CAME INTO MY OFFICE WITH $66,000 TO INVEST FROM HER CHECKING ACCOUNT. THE MONEY WAS DEPOSITED INTO NON-QUALIFIED MUTUAL FUNDS. SEVERAL MONTHS LATER SHE CALLED TO TELL ME THE MONEY CAME FROM A QUALIFIED PLAN TO ROLL OVER.
Should I file a FINRA complaint against brokers like Gerald L LePain?
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 Gerald L LePain’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 Gerald L LePain
What is Gerald LePain’s Central Registration Depository (CRD) Number?
Which firm is Gerald L LePain associated with?
EQUITABLE ADVISORS, LLC
Where is Gerald LePain located?
2348 POST ROAD, SUITE 29, WARWICK, RI, 2886
Where can I find more details about Gerald LePain’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/6627 to read a detailed report for EQUITABLE ADVISORS, LLC
Are there any disclosures, allegations or complaints filed against Gerald L LePain?
Where can I download a detailed FINRA report for Gerald LePain?
Is it safe to do business with Gerald L LePain?
We’re not sure. Please research Gerald LePain’s disclosures, allegations and complaints before taking a decision
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