RedFlag, Allegation and/or Complaint against NATHANAEL STEPHEN OTT
Disclosure #1 for NATHANAEL OTT
- Event Date: 6/7/2010
- Disclosure Type: Customer Dispute
- Resolution: Settled
- Allegations: CUSTOMER ALLEGES WRITING RR MISREPRESENTED THE MANAGED ACCOUNT SHE ORIGINALLY PURCHASED IN JAN. 2007. ORIGINAL MANAGED ACCOUNT WAS CLOSED IN SEPT. 2007. CUSTOMER ALLEGES SUBSEQUENT RR SOLD ANOTHER MANAGED ACCOUNT THAT WAS UNSUITABLE IN OCT. 2007. FIRM REIMBURSED ADVISORY FEES (TOTALING $3,983.67) AS A GOODWILL GESTURE.
- Damage Amount Requested: $17,248.41
- Settlement Amount: $3,983.67
- Arbitration Docket Number:
Should I file a FINRA complaint against brokers like NATHANAEL STEPHEN OTT?
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 NATHANAEL STEPHEN OTT’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 NATHANAEL STEPHEN OTT
What is NATHANAEL OTT’s Central Registration Depository (CRD) Number?
Which firm is NATHANAEL STEPHEN OTT associated with?
THRIVENT INVESTMENT MANAGEMENT INC.
Where is NATHANAEL OTT located?
4855 STATE ST, SAGINAW, MI, 48603
Where can I find more details about NATHANAEL OTT’s Investment Firm?
Visit https://brokercheck.finra.org/firm/summary/18387 to read a detailed report for THRIVENT INVESTMENT MANAGEMENT INC.
Are there any disclosures, allegations or complaints filed against NATHANAEL STEPHEN OTT?
Where can I download a detailed FINRA report for NATHANAEL OTT?
Is it safe to do business with NATHANAEL STEPHEN OTT?
We’re not sure. Please research NATHANAEL OTT’s disclosures, allegations and complaints before taking a decision
Originally reported on November 17, 2022 @ 8:40 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 ‘Meta Byte,’ 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/nathanael-stephen-ott-thrivent-investment-management-inc/.