FINRA Indicates That Investors Disputed Eric Harding’s Sales Practices
Soreide Law Group is evaluating possible investor disputes in regard to securities broker Eric Wayne Harding (CRD#: 2207823, Scottsdale, Arizona). Notably, more than 10 investors disputed the sales practices of Harding, who worked for securities firms Wells Fargo and United Planners Financial Services and who was a financial planner for EmpiriKal Partners LLC. Here’s more on the investor disputes.
Client Indicates That Eric Harding Caused Client To Experience Losses On Stocks
Evidently, a client of EmpiriKal Partners LLC disputed Eric Harding’s actions in a July 2020 dispute. In this claim, the client alleged that Harding did not sell stocks and this caused losses. For this reason, the client demanded $60,000 to resolve this matter. This dispute is ongoing.
Past Client Disputes About The Stockbroker Allege Bad Advice
In other disputes about Eric Harding, investors alleged unauthorized use of margin, over-concentration in stocks, inappropriate investment recommendations, misrepresentations and more. For example, a Merrill Lynch client filed an NASD Arbitration Claim making a number of allegations about the broker. Notably, Harding supposedly misrepresented information about investments and traded contrary to the client’s risk tolerance and objectives. Evidently, that client received $110,000 to settle the matter.
Eric Harding Gets Terminated From United Planners, Wells Fargo
Also, BrokerCheck shows that United Planners Financial Services disaffiliated with Eric Harding because he did not follow firm procedures. And Wells Fargo disaffiliated with Harding for telling a colleague to do something which violated its rules. Harding denies Wells Fargo’s allegations and claimed to be wrongfully terminated.
Did You Experience Losses By Investing Through Harding?
FINRA BrokerCheck indicates that Eric Harding denies allegations made against him. Have you experienced losses because of the broker? If so, contact Soreide Law Group at (888) 760-6552 and speak with experienced lawyers about a possible recovery of your investment losses. Soreide Law Group represents clients on a contingency fee basis and advances all costs. The firm has recovered millions of dollars for investors who have suffered losses due to the misconduct of financial advisors and securities brokers.