Robert Burns (CRD: 1286211) faces a pending customer claim that alleges excessive trading and $200,000 in damages, according to BrokerCheck. The claim names Burns Financial Advisors, his outside RIA.
Investors have come forward with complaints about securities broker Rodrigue Lors AKA Rodrique Lors [CRD#: 4379214, Westbury, NY]. Lors worked for (1) Wilmington Capital Securities LLC from 2017-Present and (2) National Securities Corporation from 2007-2017.
Evidently, Financial Industry Regulatory Authority (FINRA) BrokerCheck discloses that one or more National Securities Corporation investors disputed the sales practices of the securities broker. Specifically, National Securities Corporation clients allege that Lors made unsuitable recommendations. For more on these disclosures about Lors, see below.
Evidently, on September 22, 2021, a National Securities Corporation client filed an investment-related complaint about Rodrigue Lors. Specifically, the client alleged that Lors made unsuitable recommendations. For this reason, the client claims that they experienced damages relating to investments in private investments, including PIPES. Therefore, the client requested $200,000 in compensation from National Securities Corporation or Lors. Evidently, this complaint is pending a resolution.
Also, a client of Wilmington Capital Securities contested Rodrigue Lors’ sales practices by filing FINRA Arbitration #: 21-01038. Supposedly, Lors breached a fiduciary duty, breached a contract, and made unsuitable transactions. Allegedly, the stock transactions connected to this securities broker caused the client to sustain damages. Therefore, Wilmington Capital Securities opted to settle the matter on May 20, 2022, by compensating the client in the amount of $50,000.
Evidently, a National Securities Corporation client filed FINRA Arbitration #: 20-03564 about Rodrigue Lors. Specifically, the client alleged that Lors made unsuitable transactions. Because of this, the client purportedly sustained damages pertaining to investments in private placements. Therefore, on August 15, 2022, National Securities Corporation settled this matter by paying the client $30,000.
Also, a client of National Securities Corporation contested Rodrigue Lors’ sales practices by filing FINRA Arbitration #: 20-01945. Supposedly, Lors made unsuitable transactions. Allegedly, the private placement transactions involving this securities broker resulted in damages for the client. Therefore, National Securities Corporation opted to settle the matter on May 14, 2021, by compensating the client in the amount of $20,000.
Have you experienced damages because of investing through securities broker Rodrigue Lors? If so, get in touch with Soreide Law Group at (888) 760-6552 and talk with a securities attorney about a potential recovery of your investment damages. Notably, Soreide Law Group has successfully recovered money for investors throughout all 50 states. The firm represents clients on a contingency fee basis and advances all costs. Lors and brokerage firms Lors associated with deny any and all allegations of sales practice violations.
Robert Burns (CRD: 1286211) faces a pending customer claim that alleges excessive trading and $200,000 in damages, according to BrokerCheck. The claim names Burns Financial Advisors, his outside RIA.
Gabriel Swan (CRD: 5821532) faces a pending customer claim that alleges $180,000 in damages, according to BrokerCheck. In it, the customer alleges Swan failed to stop him from withdrawing funds, and Swan denies any wrongdoing.
A pending customer claim on the BrokerCheck report of John Ravsten (CRD: 5634077) alleges $118,000 in damages. The claimant alleges misrepresentation and says the investment did not suit the claimant's situation.
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