Aaron Christopher Mesaros, of Mukilteo, Washington, a stockbroker currently registered with Allstate Financial Services, LLC, is the subject of a customer initiated investment related written complaint on November 19, 2015, in which the customer requested $5,000.00 in estimated damages supported by allegations of the unauthorized rollover of the customer’s existing unit investment trust into a new unit investment trust.
Financial Industry Regulatory Authority (FINRA) Public Disclosure additionally reveals that on April 25, 2005, a customer initiated investment related written complaint involving Mesaros’ conduct was settled for $6,353.98 in damages based upon allegations that while Mesaros was associated with WM Financial Services, Inc., a variable annuity purchase was effected contrary to the customer’s expectations, which were for the customer’s funds to be used to purchase a certificate of deposit.
Further, on September 30, 2011, a customer initiated investment related written complaint regarding Mesaros’ activities was resolved for $18,607.88 in damages founded on accusations that Mesaros lied to the customer about the terms and conditions of the customer’s unit investment trust investments.
The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.
This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
