RedFlags, Allegations and Complaints against JON CHRISTOPHER WALDECK
Disclosure #1 for JON WALDECK
- eventDate: 7/1/1997
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: CLAIMANT ALLEGES UNSUITABILITY, CHURNING, MISREPRESENTATION/OMISSION OF FACTS REGARDING VARIOUS UNSPECIFIED TRANSACTIONS OCCURRING BETWEEN DECEMBER, 1994 AND AUGUST, 1997. ALLEGES DAMAGES IN EXCESS OF $100,000.00.
- Damage Amount Requested: $100,000.00
- Settlement Amount: $9,900.00
- DisplayAAOLinkIfExists: Y
- arbitrationClaimFiledDetail: 98-01349
- Arbitration Docket Number:
- Broker Comment: THIS MATTER WAS SETTLED BELOW THE THRESHOLD AMOUNT AND IS THEREFORE NONDISCLOSABLE AND SHOULD RECEIVE Z STATUS. RECOMMENDED A BALANCED PORTFOLIO, CLIENT WANTED TO TRADE AGGRESSIVE STOCKS & OPTIONS ON MARGIN. (OLDE DOES NOT RECOMMEND OPTION TRADES) LOST MONEY TRADING AGGRESSIVE STOCKS. THE MAJORITY OF STOCKS PURCHASED WERE UNSOLICITED WHICH HE HEARD OF FROM FRIENDS. WHEN CLIENT FINALLY INVESTED IN A BALANCED MUTUAL FUND PORTFOLIO, MADE PURCHASE WITH FUNDS FROM HIS HOME EQUITY LINE OF CREDIT. BROKERS WERE TOLD FUNDS WERE FROM THE SALE OF RENTAL PROPERTY. CLIENT WAS NOT TRUTHFUL GIVING FINANCIALS. WAS CALLED BY TWO DIFFERENT MANAGERS ASKING ABOUT HIS FINANCIALS AND SERVICE PROVIDED. BOTH TIMES CUSTOMER SAID FINANCIALS ON ACCOUNT WERE CORRECT AND THE SERVICE BY BROKERS WAS OKAY.
Should I file a FINRA complaint against brokers like JON CHRISTOPHER WALDECK?
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 JON CHRISTOPHER WALDECK’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 JON CHRISTOPHER WALDECK
What is JON WALDECK’s Central Registration Depository (CRD) Number?
Which firm is JON CHRISTOPHER WALDECK associated with?
AMERIPRISE FINANCIAL SERVICES, LLC
Where is JON WALDECK located?
12800 University Dr, Fort Myers, FL, 33907
Where can I find more details about JON WALDECK’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/6363 to read a detailed report for AMERIPRISE FINANCIAL SERVICES, LLC
Are there any disclosures, allegations or complaints filed against JON CHRISTOPHER WALDECK?
Where can I download a detailed FINRA report for JON WALDECK?
Is it safe to do business with JON CHRISTOPHER WALDECK?
We’re not sure. Please research JON WALDECK’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:39 am
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