The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Anthony Liddle (also known as Tony Liddle) (CRD: 5478479, Oshkosh, Wisconsin). Notably, investors disputed the sales practices of the securities broker, who worked for Landolt Securities Inc. Additionally, he discloses a regulatory enforcement action. Notably, these disclosures allege Liddle engaged in sales practice violations. Read on to learn more about the allegations against Liddle. However, bear in mind that Liddle denies the allegations against him.
Notably, on October 31, 2022, a Landolt Securities Inc. client filed a complaint about Anthony Liddle. Namely, the client alleged that Liddle obtained $110,000 from the client and provided them with a promissory note in return. However, the client allegedly sustained damages. Therefore, the client requested $110,000 in compensation from Landolt Securities Inc. or Liddle. BrokerCheck shows that this complaint is pending a resolution.
Evidently, a client of Landolt Securities Inc. contested Anthony Liddle’s sales practices, according to a complaint dated August 29, 2022. Allegedly, Liddle misappropriated funds. Supposedly, Liddle caused the client to sustain damages. Therefore, the client seeks compensatory relief from Landolt Securities Inc. or Liddle in the amount of $1,755,189.31 in this ongoing matter.
Notably, on July 14, 2022, a Landolt Securities Inc. client filed a complaint about Anthony Liddle. Namely, the client alleged that Liddle misappropriated funds. Supposedly, the client allegedly sustained damages on variable annuities and promissory notes. Therefore, the client requested $125,000 in compensation from Landolt Securities Inc. or Liddle. BrokerCheck shows that this complaint is pending a resolution.
Particularly, on July 7, 2022, a Landolt Securities Inc. client filed FINRA Arbitration: 22-01529 about Anthony Liddle. Namely, the client alleged that Liddle borrowed client funds. Supposedly, the client allegedly sustained damages on promissory notes. Therefore, the client requested $498,000 in compensation from Landolt Securities Inc. or Liddle. BrokerCheck shows that this arbitration is pending a resolution.
Also, on June 14, 2022, FINRA issued Case: 2021071099401 sanctioning Anthony Liddle for infractions. Specifically, Liddle was barred as a securities broker, which means he is not permitted by FINRA to work with any FINRA-member firms as a securities broker or in other capacities. Namely, FINRA alleged that Liddle failed to provide information and documents to FINRA when it investigated possible FINRA rule violations relating to Liddle possibly borrowing funds from investors. By failing to provide this information, the regulator was not able to determine whether he borrowed $1.8 million from clients of Western International Securities Inc. and Landolt Securities Inc.
Additionally, the Wisconsin regulator issued Case: 244949 on June 9, 2022, sanctioning Anthony Liddle for infractions. Allegedly, Liddle borrowed client funds and made omissions of material fact. Supposedly, the securities broker’s omissions concerned GWG Holdings’ suspension of L bond sales and that Liddle was not allowed to sell those securities. Therefore, Liddle was barred as a securities broker, which means he is not permitted to be a securities broker in the state of Wisconsin.
Also, on May 23, 2022, Landolt Securities Inc. disaffiliated with Liddle. Particularly, Landolt Securities Inc. alleged that Liddle received money that was meant for GWG investments. Supposedly, he deposited those funds into a Prosper Wealth Management account instead.
Incurred damages through investing with Anthony Liddle? If so, feel free to call Soreide Law Group at (888) 760-6552 and talk with a securities attorney about potentially recovering your investment losses. Soreide Law Group, who has helped recover money for hundreds of investors across the country, represents investors like you on a contingency fee basis and advances all costs. Liddle and those firms Liddle worked for deny any and all allegations of sales practice violations.
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