RedFlag, Allegation and/or Complaint against PHILIP LEE MAASS
Disclosure #1 for PHILIP MAASS
- Event Date: 1/17/2014
- Disclosure Type: Customer Dispute
- Resolution: Closed-No Action
- Allegations: CUSTOMER ALLEGED THE SALE OF TWO VARIABLE ANNUITIES PURCHASED IN SEPTEMBER 2013 WAS NOT SUITABLE AND REQUESTED A REFUND OF THE PREMIUMS DEPOSITED UNDER THE IGHT TO CANCEL PROVISION INCLUDED IN THE CONTRACTS.
- Arbitration Docket Number:
- Broker Comment: ALTHOUGH THE FIRM FOUND THE SALES WERE SUITABLE, THE CONTRACTS WERE CANCELLED PURSUANT TO THE IGHT TO CANCEL PROVISION INCLUDED IN THE CONTRACTS.
Should I file a FINRA complaint against brokers like PHILIP LEE MAASS?
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 PHILIP LEE MAASS’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!
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Frequently Asked Questions About PHILIP LEE MAASS
What is PHILIP MAASS’s Central Registration Depository (CRD) Number?
Which firm is PHILIP LEE MAASS associated with?
THRIVENT INVESTMENT MANAGEMENT INC.
Where is PHILIP MAASS located?
211 W Superior Street, Wayland, MI, 49348
Where can I find more details about PHILIP MAASS’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 PHILIP LEE MAASS?
Where can I download a detailed FINRA report for PHILIP MAASS?
Is it safe to do business with PHILIP LEE MAASS?
We’re not sure. Please research PHILIP MAASS’s disclosures, allegations and complaints before taking a decision
Originally reported on November 17, 2022 @ 8:33 pm
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