RedFlags, Allegations and Complaints against THEODORE MICHAEL ATHANS
Disclosure #1 for THEODORE ATHANS
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- eventDate: 3/31/2009
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: THE CLIENT QUESTIONED HIS SPS WRAP FEE, AND ALLEGED A LOSS OF $50,000.00. THE CLIENT DID NOT REQUEST COMPENSATION. THE SPS WRAP ACCOUNT WAS OPENED JULY 2007.
- Arbitration Docket Number:
- Broker Comment: OUR REVIEW FOUND THAT THE CLIENT WAS AWARE OF THE WRAP FEES AT THE TIME OF ACCOUNT OPENING AND THE CLIENT AUTHORIZED ALL INVESTMENT TRANSACTIONS.
Should I file a FINRA complaint against brokers like THEODORE MICHAEL ATHANS?
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 THEODORE MICHAEL ATHANS’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 THEODORE MICHAEL ATHANS
What is THEODORE ATHANS’s Central Registration Depository (CRD) Number?
Which firm is THEODORE MICHAEL ATHANS associated with?
COMMONWEALTH FINANCIAL NETWORK
Where is THEODORE ATHANS located?
1360 Marsh Street, SAN LUIS OBISPO, CA, 93401
Where can I find more details about THEODORE ATHANS’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/8032 to read a detailed report for COMMONWEALTH FINANCIAL NETWORK
Are there any disclosures, allegations or complaints filed against THEODORE MICHAEL ATHANS?
Where can I download a detailed FINRA report for THEODORE ATHANS?
Is it safe to do business with THEODORE MICHAEL ATHANS?
We’re not sure. Please research THEODORE ATHANS’s disclosures, allegations and complaints before taking a decision
Originally reported on November 16, 2022 @ 12:42 am
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