RedFlags, Allegations and Complaints against ROBERT WILLIAM STEPHENS
Disclosure #1 for ROBERT STEPHENS
- eventDate: 7/8/2004
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: CLIENT ALLEGES THAT A NUMBER OF INDIVIDUALS INCLUDING PEOPLE WITH WHOM HE NEVER DEALT ARE RESPONSIBLE FOR DAMAGES IN AN UNSPECIFIED AMOUNT (BELIEVED TO BE LESS THAN $50000.00).
- Damage Amount Requested: $50,000.00
- Settlement Amount: $35,000.00
- DisplayAAOLinkIfExists: Y
- arbitrationClaimFiledDetail: 04322
- Arbitration Docket Number:
- Broker Comment: SETTLED.
Should I file a FINRA complaint against brokers like ROBERT WILLIAM STEPHENS?
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 WILLIAM STEPHENS’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 WILLIAM STEPHENS
What is ROBERT STEPHENS’s Central Registration Depository (CRD) Number?
Which firm is ROBERT WILLIAM STEPHENS associated with?
SIGMA FINANCIAL CORPORATION
Where is ROBERT STEPHENS located?
14881 QUORUM DRIVE, DALLAS, TX, 75254
Where can I find more details about ROBERT STEPHENS’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/14303 to read a detailed report for SIGMA FINANCIAL CORPORATION
Are there any disclosures, allegations or complaints filed against ROBERT WILLIAM STEPHENS?
Where can I download a detailed FINRA report for ROBERT STEPHENS?
Is it safe to do business with ROBERT WILLIAM STEPHENS?
We’re not sure. Please research ROBERT STEPHENS’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:41 am
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