Investors might have sustained losses due to securities broker Lawrence William Waller II [CRD: 3232644, Atlanta, Georgia], given the disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Keep reading to learn more about Waller's disclosures. Waller worked for firms including Securities America Inc., WRP Investments Inc., Stonex Securities Inc. (SA Stone Wealth Management Inc.), and Stonex Advisors Inc.
Specifically, on November 9, 2023, an SA Stone Wealth Management Inc. client filed FINRA Arbitration No. 23-03245 about Lawrence Waller. Evidently, the client alleged that Waller failed to properly allocate and diversify the client’s assets. Because of this, the client allegedly sustained damages on stocks. Therefore, the client requested $135,000 in compensation from SA Stone Wealth Management Inc. or Waller. Evidently, this arbitration is pending a resolution.
Particularly, a client of Securities America Inc. contested Lawrence Waller’s handling of account documents, according to a complaint. Allegedly, Waller was involved with documents that contained forgeries of the client's signature. Consequently, Securities America Inc. opted to close the matter on November 5, 2008, with no action taken against Waller.
Also, a client of Securities America Inc. contested Lawrence W. Waller II’s handling of account transactions, according to a complaint dated February 27, 2007. Allegedly, Waller mistakenly deposited funds meant for a qualified tax status into a nonqualified brokerage account. It appears that Waller allegedly caused the client to sustain damages. Because of this, the client sought compensation from Securities America Inc. or Waller. However, this matter closed without resolution.
Did you experience losses due to Lawrence Waller? If so, get in touch with Soreide Law Group online or at (888) 760-6552 and talk with a securities lawyer about a possible recovery of your investment losses. Soreide Law Group has recovered losses for investors across the country, works on a contingency fee basis, and advances all costs. Waller and brokerage firms Waller worked for deny any allegations of sales practice violations.
Soreide Law Group is investigating potential investor claims involving TechCreate Group Ltd. (TCGL) stock, particularly whether brokers or financial advisors improperly recommended this security despite emerging warning signs. TCGL is a publicly traded foreign holding company whose shares were subject to an SEC trading suspension, raising serious concerns for investors. There is significant adverse regulatory […]
Investors might have sustained losses due to securities broker Bradley Owen Davidson [CRD: 5142256, Mission Viejo, California], given the publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Davidson has been registered with Emerson Equity LLC since February 2, 2024, and previously worked for firms including Secure Asset Management LLC from February 22, […]
Investors potentially experienced sales practice violations by securities broker Jenna Lynn Spurrier (also known as Jenna Spurrier Stucker) [CRD: 4284511, Indianapolis, Indiana], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Spurrier worked for Thurston Springer Miller Herd Titak Inc. from June 2, 2016, to the present, and Thurston Springer Advisors since August 25, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com