RedFlags, Allegations and Complaints against KEVIN JAMES BAUER
Disclosure #1 for KEVIN BAUER
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- eventDate: 8/11/2003
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: THE CLIENTS ALLEGED THEIR PURCHASES IN CLASS B SHARE MUTUAL FUNDS WERE NOT SUITABLE AND THEY WERE NOT PROVIDED WITH ENOUGH INFORMATION TO MAKE AN INFORMED CHOICE WHEN THEY WERE PURCHASED IN 2002.
- Damage Amount Requested: $5,000.00
- Arbitration Docket Number:
- Broker Comment: THE CLIENTS MUTUAL FUNDS PURCHASES MADE SINCE AUGUST 21, 2002 WERE REPLACED WITH A SHARES. THE CLIENT’S ACCOUNT WAS REIMBURSED $4,274.30 WHICH WAS THE DIFFERENCE IN THE VACK END SALES CHARGE AND WHAT THE CLIENT WOULD HAVE PAID IN THE FRONT END SALES CHARGE IN 2002
Should I file a FINRA complaint against brokers like KEVIN JAMES BAUER?
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 KEVIN JAMES BAUER’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 KEVIN JAMES BAUER
What is KEVIN BAUER’s Central Registration Depository (CRD) Number?
Which firm is KEVIN JAMES BAUER associated with?
CETERA ADVISOR NETWORKS LLC
Where is KEVIN BAUER located?
9200 SOUTH HILLS BLVD STE 310, BROADVIEW HEIGHTS, OH, 44147
Where can I find more details about KEVIN BAUER’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/13572 to read a detailed report for CETERA ADVISOR NETWORKS LLC
Are there any disclosures, allegations or complaints filed against KEVIN JAMES BAUER?
Where can I download a detailed FINRA report for KEVIN BAUER?
Is it safe to do business with KEVIN JAMES BAUER?
We’re not sure. Please research KEVIN BAUER’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:40 am
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