RedFlags, Allegations and Complaints against JAMES EARL DICKMAN
Disclosure #1 for JAMES DICKMAN
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- eventDate: 9/28/2008
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Withdrawn
- Disclosure Detail :: Allegations: CUSTOMER ALLEGED FAILURE TO DISCLOSE CONTINGENT DEFERRED SALES CHARGES IN CONNECTION WITH MUTUAL FUNDS PURCHASED BETWEEN SEPTEMBER 05, 2008 AND SEPTEMBER 10, 2008.
- Damage Amount Requested: $8,355.00
- Arbitration Docket Number:
- Broker Comment: THE CUSTOMER SENT A LETTER TO THE FIRM AND STATED THAT HE IS RETRACTING AND WITHDRAWING HIS COMPLAINT AND ALLEGATIONS. HE INDICATED THAT HE IS A KNOWLEDGEABLE, EXPERIENCED INVESTOR AND SECURITIES ATTORNEY, WHO, UPON FURTHER REFLECTION, CONCLUDED THE ALLEGATION REGARDING THE FAILURE TO DISCLOSE CONTINGENT DEFERRED SALES CHARGES WAS WITHOUT MERIT. HE ALSO STATED THAT HE RECEIVED A PROSPECTUS FOR EACH OF THE FUNDS AT ISSUE. BASED ON THE CUSTOMER’S STATEMENTS, THE FIRM CONCLUDED THAT THE ALLEGATION WAS WITHOUT MERIT AND REMUNERATION FOR CONTINGENT DEFERRED SALES CHARGES INCURRED WAS NOT WARRANTED OR GIVEN.
Should I file a FINRA complaint against brokers like JAMES EARL DICKMAN?
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 JAMES EARL DICKMAN’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 JAMES EARL DICKMAN
What is JAMES DICKMAN’s Central Registration Depository (CRD) Number?
Which firm is JAMES EARL DICKMAN associated with?
STIFEL, NICOLAUS & COMPANY, INCORPORATED
Where is JAMES DICKMAN located?
1759 WORTH PARK, CHARLOTTESVILLE, VA, 22911
Where can I find more details about JAMES DICKMAN’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/793 to read a detailed report for STIFEL, NICOLAUS & COMPANY, INCORPORATED
Are there any disclosures, allegations or complaints filed against JAMES EARL DICKMAN?
Where can I download a detailed FINRA report for JAMES DICKMAN?
Is it safe to do business with JAMES EARL DICKMAN?
We’re not sure. Please research JAMES DICKMAN’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:39 am
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