FINRA arbitration vs FINRA complaint: one reports broker misconduct to the regulator, the other is how investors seek recovery of investment losses.
Soreide Law Group is investigating possible investor claims against securities broker Robert Edward Bortz Jr. (CRD: 1018691, Waukesha, Wisconsin). Specifically, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that investors disputed the sales practices of the securities broker, who worked for Equitable Advisors LLC. Supposedly, one or more individuals claim that Bortz made omissions. Here is a brief summary of the disclosures about Bortz.
Specifically, a client of Equitable Advisors LLC contested Robert Bortz’s sales practices, according to a complaint. Allegedly, Bortz made omissions regarding fees. Supposedly, Bortz caused the client to sustain damages on variable annuities. Therefore, Equitable Advisors LLC opted to settle the matter on February 28, 2022, by compensating the client in the amount of $49,131.81.
Specifically, a client of AXA Advisors LLC contested Robert Bortz’s sales practices, according to a complaint dated July 25, 2014. Allegedly, Bortz made misrepresentations concerning guaranteed returns through an annuity benefit. Supposedly, Bortz caused the client to sustain damages on variable annuities. Therefore, the client asked for compensatory relief from AXA Advisors LLC or Bortz in this matter. However, the firm denied this complaint.
Also, a Lincoln Financial Advisors Corporation client filed Civil Suit: 04C4966 about Robert Bortz. Namely, the client alleged that Bortz made misrepresentations. Because of this, the client allegedly sustained damages. Therefore, on August 4, 2007, Lincoln Financial Advisors Corporation settled this matter by paying the client $40,359 in damages.
Specifically, a client of Lincoln Financial Advisors Corporation contested Robert Bortz’s sales practices, according to a complaint dated December 7, 2004. Allegedly, Bortz withdrew client funds without authorization. Supposedly, Bortz caused the client to sustain damages on variable annuities. Therefore, the client asked for compensatory relief from Lincoln Financial Advisors Corporation or Bortz in the amount of $27,504. The firm denied this complaint.
Have you experienced damages due to Robert Bortz? If so, contact Soreide Law Group at (888) 760-6552 and speak with a securities lawyer about a possible recovery of your losses. Soreide Law Group, who has successfully recovered money for hundreds of investors across the United States, represents clients on a contingency fee basis and advances all costs. Bortz and brokerage firms Bortz worked for deny any and all allegations of sales practice violations.
FINRA arbitration vs FINRA complaint: one reports broker misconduct to the regulator, the other is how investors seek recovery of investment losses.
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