RedFlags, Allegations and Complaints against ROBERT FREDERICK MEYER
Disclosure #1 for ROBERT MEYER
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- eventDate: 1/2/2002
- Disclosure Type: Regulatory
- Disclosure Resolution: Final
- Disclosure Detail :: DocketNumberFDA: C11020002
- DocketNumberAAO: 11020002
- Initiated By: NATIONAL ASSOCIATION OF SECURITIES DEALERS, INC.
- Allegations: NASD RULE 2110 – WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, THE RESPONDENT CONSENTED TO THE ENTRY OF FINDINGS THAT HE PAID COMMISSIONS TOTALED APPROXIMATELY $30,000 TO A REGISTERED REPRESENTATIVE OF ANOTHER MEMBER FIRM WITHOUT THE KNOWLEDGE OR CONSENT OF HIS MEMBER FIRM. THE COMMISSION WERE PAID IN RELATION TO MUTUAL FUND ACCOUNTS OPENED THROUGH RESPONDENT AT HIS MEMBER FIRM.
- Resolution: Acceptance, Waiver & Consent(AWC)
- SanctionDetails :: Sanctions: Civil and Administrative Penalty(ies)/Fine(s)
- Regulator Statement: A FINE IN THE AMOUNT OF $4,000. FINES PAID ON 02/08/2002.
- Broker Comment: WITHOUT ADMITTING OR DENYING THE ALLEGATIONS, I ACCEPTED AND CONSENTED THE NASD REGULATION, INC. FINDING THAT I WAS IN VIOLATION OF NASD CONDUCT RULE 2110 AND ALSO CONSENTED TO THE FINE OF $4,000.00.
Should I file a FINRA complaint against brokers like ROBERT FREDERICK MEYER?
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 ROBERT FREDERICK MEYER’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 ROBERT FREDERICK MEYER
What is ROBERT MEYER’s Central Registration Depository (CRD) Number?
Which firm is ROBERT FREDERICK MEYER associated with?
EQUITY SERVICES, INC.
Where is ROBERT MEYER located?
675 THIRD AVENUE, NEW YORK, NY, 10017
Where can I find more details about ROBERT MEYER’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/265 to read a detailed report for EQUITY SERVICES, INC.
Are there any disclosures, allegations or complaints filed against ROBERT FREDERICK MEYER?
Where can I download a detailed FINRA report for ROBERT MEYER?
Is it safe to do business with ROBERT FREDERICK MEYER?
We’re not sure. Please research ROBERT MEYER’s disclosures, allegations and complaints before taking a decision
Originally reported on November 15, 2022 @ 11:32 pm
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