EUGENE HAROLD PINT at SECURITIES MANAGEMENT & RESEARCH, INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)
RedFlag, Allegation and/or Complaint against EUGENE HAROLD PINT
Disclosure #1 for EUGENE PINT
-
- Event Date: 1/3/2011
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Denied
- Disclosure Detail :: Allegations: CLIENT IS UPSET THAT HER POLICY HAS LAPSED WITHOUT HER KNOWLEDGE AND TO REINSTATE THE POLICY WILL COST AN ADDITIONAL $10,000.00. CLIENT ALLEGES SHE WAS INFORMED THAT THE ORIGINAL $60,000.00 PLACED INTO THE POLICY WAS ALL THAT WAS NECESSARY FOR HER TO PAY. CLIENT ALSO ALLEGES SHE NEVER RECEIVED ANY NOTICES THAT THERE WAS ADDITIONAL PAYMENT DUE OR COMMUNICATIONS THAT THE POLICY LAPSED AND THAT SHE DOES NOT FEEL THE POLICY WAS SUITABLE FOR HER NEEDS.
- Arbitration Docket Number:
- Broker Comment: FULL DISCLOSURE WAS PROVIDED. CLIENT WAS MADE AWARE THAT MARKET SWINGS COULD CAUSE CONTRACT TO NOT PERFORM AS ILLUSTRATED.
Should I file a FINRA complaint against brokers like EUGENE HAROLD PINT?
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 EUGENE HAROLD PINT’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!
BrokerAudit.com helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Our database reports whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both. We provide you with a snapshot of a broker’s employment history, regulatory actions, investment-related licensing information, arbitrations, and complaints, and allow users to share their experiences and reviews with these brokers and brokerage firms.
Frequently Asked Questions About EUGENE HAROLD PINT
What is EUGENE PINT’s Central Registration Depository (CRD) Number?
Which firm is EUGENE HAROLD PINT associated with?
SECURITIES MANAGEMENT & RESEARCH, INC.
Where is EUGENE PINT located?
2913 FALLS AVENUE, WATERLOO, IA, 50701
Where can I find more details about EUGENE PINT’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/759 to read a detailed report for SECURITIES MANAGEMENT & RESEARCH, INC.
Are there any disclosures, allegations or complaints filed against EUGENE HAROLD PINT?
Where can I download a detailed FINRA report for EUGENE PINT?
Is it safe to do business with EUGENE HAROLD PINT?
We’re not sure. Please research EUGENE PINT’s disclosures, allegations and complaints before taking a decision
Originally reported on November 17, 2022 @ 8:42 pm
The views and opinions expressed in these articles are those of the source BROKERAUDIT.COM and do not necessarily reflect the official position of ‘Fight The Scams LLC,’ which shall not be held liable for any inaccuracies presented. The information provided within this article is for general informational purposes only. While we try to keep the information up-to-date and correct, there are no representations or warranties, express or implied, about the completeness, accuracy, reliability, suitability or availability of the information in this article for any purpose.
This article is syndicated automatically through a third-party agency from BROKERAUDIT.COM.
To view the original article at BROKERAUDIT.COM, you can visit https://www.brokeraudit.com/eugene-harold-pint-securities-management-research-inc/.
