RedFlags, Allegations and Complaints against ROGER STEPHEN OREFICE
Disclosure #1 for ROGER OREFICE
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- eventDate: 6/11/2008
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: THE CLIENT ALLEGES THE REPLACEMENT OF HIS SINGLE PAY VARIABLE LIFE INSURANCE WITH A VARIABLE UNIVERSAL LIFE INSURANCE POLICY WAS NOT APPROPRIATE FOR HIS FINANCIAL CIRCUMSTANCES
- Damage Amount Requested: $5,000.00
- Arbitration Docket Number:
- Broker Comment: BASED ON THE DOCUMENTATION AVAILABLE TO US, IF THE CLIENT RECEIVED INFORMATION PERTAINING TO THE FEATURES AND BENEFITS OF THE NEW VARIABLE UNIVERSAL LIFE INSURANCE II POLICY. THE PRODUCT APPEARS TO BE IN ALIGNMENT WITH THE CLIENT’S FINANCIAL GOALS AND OBJECTIVES AT THE TIME OF THE TRANSACTION. THE CLIENT RECEIVED RELIEF FROM THE CLASS ACTION SETTLEMENT.
Should I file a FINRA complaint against brokers like ROGER STEPHEN OREFICE?
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 ROGER STEPHEN OREFICE’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 ROGER STEPHEN OREFICE
What is ROGER OREFICE’s Central Registration Depository (CRD) Number?
Which firm is ROGER STEPHEN OREFICE associated with?
AMERIPRISE FINANCIAL SERVICES, LLC
Where is ROGER OREFICE located?
310 N MAIN STREET, NORTH UXBRIDGE, MA, 1538
Where can I find more details about ROGER OREFICE’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/6363 to read a detailed report for AMERIPRISE FINANCIAL SERVICES, LLC
Are there any disclosures, allegations or complaints filed against ROGER STEPHEN OREFICE?
Where can I download a detailed FINRA report for ROGER OREFICE?
Is it safe to do business with ROGER STEPHEN OREFICE?
We’re not sure. Please research ROGER OREFICE’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:38 am
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