RedFlags, Allegations and Complaints against GREGORY EDWARD PUTTICK
Disclosure #1 for GREGORY PUTTICK
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- eventDate: 8/9/2016
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: Failure to disclose. Improper investment advice.
- Damage Amount Requested: $429,500.00
- Settlement Amount: $6,000.00
- Arbitration Docket Number:
- Broker Comment: By my firm and myself, we viewed this claim as totally without merit. I was not the broker of record regarding this product. My involvement was only as the Tax Advisor and not the one that introduced the product. Shortly before the scheduled hearing date, we were presented with an opportunity to settle this matter for approximately one tenth of what it would have cost us to litigate. I consented to the settlement despite the fact that I had meritorious defenses to all claims.
Should I file a FINRA complaint against brokers like GREGORY EDWARD PUTTICK?
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 GREGORY EDWARD PUTTICK’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 GREGORY EDWARD PUTTICK
What is GREGORY PUTTICK’s Central Registration Depository (CRD) Number?
Which firm is GREGORY EDWARD PUTTICK associated with?
ROYAL ALLIANCE ASSOCIATES, INC.
Where is GREGORY PUTTICK located?
265 SUNRISE HWY, ROCKVILLE CENTRE, NY, 11570
Where can I find more details about GREGORY PUTTICK’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/23131 to read a detailed report for ROYAL ALLIANCE ASSOCIATES, INC.
Are there any disclosures, allegations or complaints filed against GREGORY EDWARD PUTTICK?
Where can I download a detailed FINRA report for GREGORY PUTTICK?
Is it safe to do business with GREGORY EDWARD PUTTICK?
We’re not sure. Please research GREGORY PUTTICK’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:39 am
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