Comments on: How To File a Complaint Against Your Broker http://www.goodfinancialcents.com/how-to-file-complaint-against-broker-financial-advisor-planner/ Helping You Make Cents Of Investing and Financial Planning Mon, 22 Feb 2010 18:30:30 +0000 http://wordpress.org/?v=2.9.2 hourly 1 By: Carnival of Pecuniary Delights — Almost Frugal- a frugal blog http://www.goodfinancialcents.com/how-to-file-complaint-against-broker-financial-advisor-planner/comment-page-1/#comment-4260 Carnival of Pecuniary Delights — Almost Frugal- a frugal blog Fri, 11 Sep 2009 04:03:25 +0000 http://www.goodfinancialcents.com/?p=4222#comment-4260 [...] Jeff Rose from Good Financial Cents presents How to File Complaint Against Your Financial Advisor. [...] [...] Jeff Rose from Good Financial Cents presents How to File Complaint Against Your Financial Advisor. [...]

]]> By: Carnival of Personal Finance #205: Pay it Forward Edition http://www.goodfinancialcents.com/how-to-file-complaint-against-broker-financial-advisor-planner/comment-page-1/#comment-1589 Carnival of Personal Finance #205: Pay it Forward Edition Tue, 19 May 2009 18:21:28 +0000 http://www.goodfinancialcents.com/?p=4222#comment-1589 [...] Rose from Good Financial Cents presents How To File a Complainst Against Your Broker.  "If you have a run in with a sleazy broker, here’s some steps you can take to [...] [...] Rose from Good Financial Cents presents How To File a Complainst Against Your Broker.  "If you have a run in with a sleazy broker, here’s some steps you can take to [...]

]]> By: * Weekly Highlights: May 10, 2009 http://www.goodfinancialcents.com/how-to-file-complaint-against-broker-financial-advisor-planner/comment-page-1/#comment-1515 * Weekly Highlights: May 10, 2009 Sun, 10 May 2009 15:28:18 +0000 http://www.goodfinancialcents.com/?p=4222#comment-1515 [...] I Refinance? Obama Says Yes at QueercentsOptions Basics- What Are Options at Financial HighwayHow To File a Complaint Against Your Broker at Good Financial CentsCan forcing credit card use change behavior? at Taking Charge[Video] [...] [...] I Refinance? Obama Says Yes at QueercentsOptions Basics- What Are Options at Financial HighwayHow To File a Complaint Against Your Broker at Good Financial CentsCan forcing credit card use change behavior? at Taking Charge[Video] [...]

]]> By: find a financial advisor or planner http://www.goodfinancialcents.com/how-to-file-complaint-against-broker-financial-advisor-planner/comment-page-1/#comment-1483 find a financial advisor or planner Wed, 06 May 2009 02:02:42 +0000 http://www.goodfinancialcents.com/?p=4222#comment-1483 You mentioned the websites to go to for a background check. The following articles tells you which organization to go to for which professional, it is different for brokers, investment advisors, insurance, etc. Check the link here: http://www.claroconnect.com/Financial_Library/howto_background_check.htm You mentioned the websites to go to for a background check. The following articles tells you which organization to go to for which professional, it is different for brokers, investment advisors, insurance, etc. Check the link here:
http://www.claroconnect.com/Financial_Library/howto_background_check.htm

]]> By: Jeff Rose http://www.goodfinancialcents.com/how-to-file-complaint-against-broker-financial-advisor-planner/comment-page-1/#comment-1482 Jeff Rose Wed, 06 May 2009 02:00:02 +0000 http://www.goodfinancialcents.com/?p=4222#comment-1482 @ mapgirl No argument is necessary. In theory, the arbitration process is to be equal to both parties, but having somebody advise along the way could be of tremendous value. Thank you for sharing your friend's unfortunate experience with the "unscrupulous" broker that I described. I'm glad that your friend went through with the process. Even though they didn't recover the full amount, at least the broker now has a mark on his record and will hopefully prevent somebody else from being taken advantage of. @ mapgirl No argument is necessary. In theory, the arbitration process is to be equal to both parties, but having somebody advise along the way could be of tremendous value. Thank you for sharing your friend’s unfortunate experience with the “unscrupulous” broker that I described. I’m glad that your friend went through with the process. Even though they didn’t recover the full amount, at least the broker now has a mark on his record and will hopefully prevent somebody else from being taken advantage of.

]]> By: mapgirl http://www.goodfinancialcents.com/how-to-file-complaint-against-broker-financial-advisor-planner/comment-page-1/#comment-1481 mapgirl Tue, 05 May 2009 15:43:28 +0000 http://www.goodfinancialcents.com/?p=4222#comment-1481 I would argue that you consult a securities attorney as you go into arbitration, not after. You want the attorney to advise you through arbitration, not after. I have a friend who filed a complaint against his broker, with an email trail with specific and direct orders not to buy certain stocks. However, his broker did it anyway and though ultimately he recovered some money via arbitration, it did not replace the full amount. But he had an attorney advise him from the very beginning. <abbr><em>mapgirl’s last blog post..<a href="http://www.mapgirl.net/mfc/2009/05/05/psa-back-up-your-data/" rel="nofollow">PSA: Back Up Your Data!</a></abbr></em> I would argue that you consult a securities attorney as you go into arbitration, not after. You want the attorney to advise you through arbitration, not after.

I have a friend who filed a complaint against his broker, with an email trail with specific and direct orders not to buy certain stocks. However, his broker did it anyway and though ultimately he recovered some money via arbitration, it did not replace the full amount. But he had an attorney advise him from the very beginning.

mapgirl’s last blog post..PSA: Back Up Your Data!

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