RedFlags, Allegations and Complaints against ROBERT GLENN SCHWARTZ
Disclosure #1 for ROBERT SCHWARTZ
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- eventDate: 10/13/2009
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: BREACH OF FIDUCIARY DUTY, NEGLIGENCE, GROSS NEGLIGENCE AND NEGLIGENT MISREPRESENTATIONS AND OMISSIONS. ACTIVITY DATES MAY 2000 THRU MARCH 2010.
- Damage Amount Requested: $3,500,000.00
- Settlement Amount: $2,750,000.00
- Arbitration Docket Number:
- Broker Comment: I CHOSE TO PERSONALLY CONTRIBUTE TO THE SETTLEMENT IN ORDER TO BRING CLOSURE TO THE CASE. I DENY ANY WRONGDOING IN THIS MATTER. THE RISKS ASSOCIATED WITH THIS LEHMAN BROS. STRUCTURED NOTE WERE PROPERLY REPRESENTED TO THE CLIENT AND THE CO-TRUSTEE.
Should I file a FINRA complaint against brokers like ROBERT GLENN SCHWARTZ?
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 GLENN SCHWARTZ’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 GLENN SCHWARTZ
What is ROBERT SCHWARTZ’s Central Registration Depository (CRD) Number?
Which firm is ROBERT GLENN SCHWARTZ associated with?
RAYMOND JAMES & ASSOCIATES, INC.
Where is ROBERT SCHWARTZ located?
6 Concourse Parkway, Atlanta, GA, 30328
Where can I find more details about ROBERT SCHWARTZ’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/705 to read a detailed report for RAYMOND JAMES & ASSOCIATES, INC.
Are there any disclosures, allegations or complaints filed against ROBERT GLENN SCHWARTZ?
Where can I download a detailed FINRA report for ROBERT SCHWARTZ?
Is it safe to do business with ROBERT GLENN SCHWARTZ?
We’re not sure. Please research ROBERT SCHWARTZ’s disclosures, allegations and complaints before taking a decision
Originally reported on November 15, 2022 @ 11:33 pm
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