RedFlags, Allegations and Complaints against RICHARD EGILS OZOLS
Disclosure #1 for RICHARD OZOLS
-
- eventDate: 3/15/2017
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: CUSTOMER ALLEGES BREACH OF FIDUCIARY DUTY, NEGLIGENCE AND BREACH OF CONTRACT BETWEEN SEPTEMBER 2011 AND OCTOBER 2013 WITH REGARD TO MUTUAL FUND INVESTMENTS AT LPL, AND WITH REGARD TO INVESTMENTS MADE THEREAFTER WITH DIFFERENT FINANCIAL ADVISORS AT A SUBSEQUENT BROKER-DEALER.
- Damage Amount Requested: $324,853.00
- Settlement Amount: $23,983.00
- Arbitration Docket Number:
- Broker Comment: THIS MATTER WAS RESOLVED WITHOUT ANY ADMISSION OF LIABILITY (WHICH WAS AND REMAINS DENIED) AND SOLELY AS A BUSINESS DECISION IN ORDER TO BRING THIS MATTER TO CLOSURE, AND WITH NO CONTRIBUTION FROM THE REGISTERED REPRESENTATIVE. THE REGISTERED REPRESENTATIVE DENIES ANY AND ALL WRONGDOING WITH RESPECT TO THIS MATTER.
Should I file a FINRA complaint against brokers like RICHARD EGILS OZOLS?
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 RICHARD EGILS OZOLS’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 RICHARD EGILS OZOLS
What is RICHARD OZOLS’s Central Registration Depository (CRD) Number?
Which firm is RICHARD EGILS OZOLS associated with?
LPL FINANCIAL LLC
Where is RICHARD OZOLS located?
13951 N. OLD FOREST TRAIL, ORO VALLEY, AZ, 85755-5787
Where can I find more details about RICHARD OZOLS’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/6413 to read a detailed report for LPL FINANCIAL LLC
Are there any disclosures, allegations or complaints filed against RICHARD EGILS OZOLS?
Where can I download a detailed FINRA report for RICHARD OZOLS?
Is it safe to do business with RICHARD EGILS OZOLS?
We’re not sure. Please research RICHARD OZOLS’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:52 am
The views and opinions expressed in these articles are those of the source BrokerAudit.com and do not necessarily reflect the official position of ‘Skeptic Files’, which shall not be held liable for any inaccuracies presented. The information provided within this article is for general informational purposes only. While we try to keep the information up-to-date and correct, there are no representations or warranties, express or implied, about the completeness, accuracy, reliability, suitability or availability of the information in this article for any purpose.
This article is syndicated automatically through a third-party agency from BrokerAudit.com.
To view the original article at BrokerAudit.com, you can visit https://www.brokeraudit.com/richard-egils-ozols-lpl-financial-llc/.
