Soreide Law Group, based in Florida, is currently investigating claims brought by former clients of:
HARVEY ALAN WEISENFELD CRD#: 1187453
Harvey Weisenfeld was a registered broker and financial adviser formerly with ALLSTATE FINANCIAL SERVICES, LLC of INVERNESS, FL. According to FINRA’s BrokerCheck, which is available to the public on FINRA’s website, Harvey Weisenfeld was in the securities industry for 30 years and was listed with 16 firms.
On July 25, 2017, FINRA barred Harvey Weisenfeld from acting as a broker or otherwise associating with a broker-dealer firm following allegations that Weisenfeld failed to respond to FINRA request for information.
Also on Weisenfeld’s BrokerCheck, were five Disclosures, including the Regulatory barring him from the industry, three Customer Disputes, and one Employment Separation in which Weisenfeld was discharged from A.G. Edwards of St. Louis in 1998 following allegations that Weisenfeld failed to respond to FINRA request for information. One of the Customer Disputes listed on the BrokerCheck, settled for $35,000 in 2008 following allegations that the customer was sold an unsuitable variable annuity which caused adverse tax consequences.
The significance of Weisenfeld’s 3 Customer Disputes is underscored in FINRA NOTICE to MEMBERS 03-49. In 2003, FINRA conducted a review of the CRD’s of all 663,000 registered representatives, only 2,751 (.41%) had been the subject of (3) or more customer complaints. In other words Weisenfeld’s customer complaints rank him in the top one-hundredth percent of all registered representatives for customer complaints.
The most recent firms Harvey Weisenfeld was listed with were:
12/18/2006 - 05/17/2017 ALLSTATE FINANCIAL SERVICES, LLC - INVERNESS, FL
09/17/2003 - 12/05/2006 NATIONWIDE SECURITIES, INC - ORLANDO, FL
If you or a loved one experienced losses due to the actions or recommendations of former ALLSTATE FINANCIAL SERVICES, LLC of INVERNESS, FL, broker, HARVEY ALAN WEISENFELD, contact the Florida-based Soreide Law Group and speak to an experienced securities lawyer regarding the possible recovery of your investment losses through a FINRA arbitration at: 888-760-6552.
Soreide Law Group represents clients nationally before FINRA. We operate on a contingency fee basis—no fee if no recovery.
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