RedFlags, Allegations and Complaints against KEVAN LEE GAUG
Disclosure #1 for KEVAN GAUG
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- eventDate: 4/2/2014
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: IN NOVEMBER 2013 CUSTOMER AUTHORIZED MR. GAUG TO PURCHASE 500 PIMCO INCOME STRATEGY (PFL). ON 11/6/13 MR. GAUG ERRONEOUSLY PLACED A PURCHASE OF 5000 (NOT 500) PFL @ LIMIT PRICE OF 11.93. ON 11/11/13 MR. GAUG REALIZED HIS MISSTATE, REQUESTED THE HOME OFFICE TO CORRECT THE SHARE AMOUNT FROM 5000 TO 500. CUSTOMER ALLEGES MR. GAUG RECOMMENDED JUNE 2007 CUSTOMER INVESTED $100,000 IN BEHRINGER HARVARD REIT I. CUSTOMER ALLEGES HE WAS NEVER MADE AWARE THAT HE COULD NOT SELL BEHRINGER HARVARD. KEVAN GAUG DENIES THESE ALLEGATION AND DISCLOSED ALL THE FEATURES OR THE BEHRINGER HARVARD REIT I
- Damage Amount Requested: $52,000.00
- Settlement Amount: $10,000.00
- Arbitration Docket Number:
Should I file a FINRA complaint against brokers like KEVAN LEE GAUG?
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 KEVAN LEE GAUG’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 KEVAN LEE GAUG
What is KEVAN GAUG’s Central Registration Depository (CRD) Number?
Which firm is KEVAN LEE GAUG associated with?
MONEY CONCEPTS CAPITAL CORP
Where is KEVAN GAUG located?
95 VERANDA RIDGE DRIVE, THE WOODLANDS, TX, 77382
Where can I find more details about KEVAN GAUG’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/12963 to read a detailed report for MONEY CONCEPTS CAPITAL CORP
Are there any disclosures, allegations or complaints filed against KEVAN LEE GAUG?
Where can I download a detailed FINRA report for KEVAN GAUG?
Is it safe to do business with KEVAN LEE GAUG?
We’re not sure. Please research KEVAN GAUG’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:40 am
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