Soreide Law Group talks about Clyde Warren Ford (CRD#: 4700006, Fresno, California) in this investor protection blog post. Evidently, Ford worked as a securities broker for Kestra Investment Services from 2014 to 2019. He was also a financial advisor with Kestra Advisory Services from 2016 to 2019. Read on to learn more about the allegations reported on BrokerCheck, which are denied by the broker, and how a securities lawyer might be able to help you recover losses caused by a financial advisor or securities broker’s sales practice violations.
Notably, FINRA BrokerCheck shows that an investor objected to Clyde Ford’s sales practices by bringing a dispute dated November 1, 2019. Supposedly, the client realized damages because of Ford’s private securities transaction (Panthera). Mainly, the securities broker allegedly committed conversion, misrepresentation, negligence, and breach of fiduciary duty. Consequently, the client received a monetary judgment of $410,000 on October 8, 2020.
Evidently, the firm terminated Clyde Ford as a securities broker on September 5, 2019. In particular, the securities firm alleges that the securities broker engaged in outside business activities. Ford referred clients to someone who Kestra Investment Services did not authorize. Supposedly, Ford did not inform the securities broker-dealer about his outside business activities.
Did securities broker Clyde Ford cause you to suffer losses? You should get in touch with Soreide Law Group at (888) 760-6552 and chat with a skilled securities lawyer regarding a possible recovery of your losses. We take cases on a contingency fee basis and advance all costs. The firm has helped many US investors recover compensation when they have sustained losses from their financial advisors or securities brokers. Please note that Ford denies the allegations of his improper sales practices.
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