RedFlags, Allegations and Complaints against WILLIAM JOHN LACY
Disclosure #1 for WILLIAM LACY
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- eventDate: 7/31/2003
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Settled
- Disclosure Detail :: Allegations: CLAIMANTS ALLEGE BREACH OF FIDUCIARY DUTY WITH RESPECT TO THE INVESTMENT ADVICE RECEIVED IN CONNECTION WITH THEIR ENRON INVESTMENTS.
- Damage Amount Requested: $714,000.00
- Settlement Amount: $25,000.00
- DisplayAAOLinkIfExists: Y
- arbitrationClaimFiledDetail: 03-05339
- Arbitration Docket Number:
- Broker Comment: MERRILL LYNCH AGREED TO SETTLE WITH CUSTOMERS TO AVOID THE FURTHER COST AND DISTRACTION OF ARBITRATION WITHOUT ANY ADMISSION OF LIABILITY.
Should I file a FINRA complaint against brokers like WILLIAM JOHN LACY?
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 WILLIAM JOHN LACY’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 WILLIAM JOHN LACY
What is WILLIAM LACY’s Central Registration Depository (CRD) Number?
Which firm is WILLIAM JOHN LACY associated with?
LPL FINANCIAL LLC
Where is WILLIAM LACY located?
604 LAZY OAK TRL, HOLLAND, MI, 49424-2558
Where can I find more details about WILLIAM LACY’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/6413 to read a detailed report for LPL FINANCIAL LLC
Are there any disclosures, allegations or complaints filed against WILLIAM JOHN LACY?
Where can I download a detailed FINRA report for WILLIAM LACY?
Is it safe to do business with WILLIAM JOHN LACY?
We’re not sure. Please research WILLIAM LACY’s disclosures, allegations and complaints before taking a decision
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