RedFlags, Allegations and Complaints against KEVIN RAYMOND ZELLERS
Disclosure #1 for KEVIN ZELLERS
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- eventDate: 5/17/2012
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: CLIENT ALLEGES FA MISREPRESENTED THE UNDERLYING STOCKS TO HIS APRIL 2011 PURCHASE OF 2 HSBC STRUCTURED CD’S TOTALING $247,014.00.
- Damage Amount Requested: $11,445.20
- Arbitration Docket Number:
- Broker Comment: I HAD SEVERAL MEETINGS IN 2011 WITH THE [CUSTOMERS. ALL WERE JOINT MEETINGS WITH THE STRONGSVILLE KEY CENTER BRANCH MANAGER [THIRD PARTY. IN THESE MEETINGS I PRESENTED THE CD OFFERINGS OF THAT MONTH IN DETAIL TO THE [CUSTOMER. IN APRIL 2011, THE [CUSTOMER DECIDED TO PURCHASE TWO OF THE APRIL OFFERINGS. THEY WERE PRESENTED THE APRIL SALES MATERIAL AND SIGNED THE APPROPRIATE APRIL DISCLOSURE PAPERWORK. AFTER PURCHASE OF THE CD’S THE [CUSTOMERRECEIVED A TRADE CONFIRMATION AND PROSPECTUS IN THE MAIL. THESE DOCUMENTS CONFIRM AND OUTLINE ALL DETAILS OF THEIR PURCHASE. THE WRITTEN COMPLAINT THEY HAVE SUBMITTED WAS RECEIVED MORE THAN ONE YEAR AFTER THEY RECIEVED ALL APPROPRIATE DOCUMENTS, AND QUARTERLY STATEMENTS SHOWING THEIR POSITION. I STAND BY MY STATEMENT AND [THIRD PARTY HAS RESPONDED AS WELL TO VERIFY IT. THANK YOU.
Should I file a FINRA complaint against brokers like KEVIN RAYMOND ZELLERS?
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 RAYMOND ZELLERS’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 RAYMOND ZELLERS
What is KEVIN ZELLERS’s Central Registration Depository (CRD) Number?
Which firm is KEVIN RAYMOND ZELLERS associated with?
MORGAN STANLEY
Where is KEVIN ZELLERS located?
201 Main Street, Fort Worth, TX, 76102
Where can I find more details about KEVIN ZELLERS’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/149777 to read a detailed report for MORGAN STANLEY
Are there any disclosures, allegations or complaints filed against KEVIN RAYMOND ZELLERS?
Where can I download a detailed FINRA report for KEVIN ZELLERS?
Is it safe to do business with KEVIN RAYMOND ZELLERS?
We’re not sure. Please research KEVIN ZELLERS’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:52 am
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