One or more investors potentially experienced sales practice violations because of securities broker Samuel Starr (also known as Sam Starr) [CRD: 1893387, Hyannis, Massachusetts], based on publicly available information reported on FINRA BrokerCheck. Samuel Starr worked for UBS Financial Services Inc. from June 12, 2008, to January 11, 2019, and has worked with Wells Fargo Clearing Services LLC since January 2, 2019. Keep reading to find out more Samuel Starr’s regulatory disclosures and the client disputes he has been involved in.
Notably, on July 22, 2024, a Wells Fargo Advisors client filed FINRA Arbitration No. 24-01575 about Samuel Starr. Mainly, the client alleged that Starr made omissions about fees, commissions, and penalties relating to investments. For this reason, the client allegedly sustained damages. As a result, the client requested compensation from Wells Fargo Advisors or Starr. It appears that this arbitration is pending a resolution.
Evidently, a client of Wachovia Securities contested Samuel Starr’s sales practices, according to a complaint. Allegedly, Starr made improper sales of auction rate securities. Supposedly, Starr caused the client to sustain damages. Therefore, Wachovia Securities opted to settle the matter on August 15, 2008, by compensating the client in the amount of $25,000.00.
Do you have concerns or questions regarding investments you made with Samuel Starr? You can get in touch with Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group has recovered losses for clients throughout the US. Also, the firm takes cases on a contingency fee basis and advances all costs. Starr and the firms Starr worked for deny accusations of sales practice violations.
Investors potentially experienced sales practice violations by securities broker Matthew R. Carbray [CRD: 4565811, Northampton, Massachusetts], based on public information on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carbray has worked for Kestra Investment Services LLC since July 21, 2006, and Kestra Advisory Services LLC since April 19, 2016. Continue reading to learn more about Carbray’s […]
Investors apparently complained about securities broker Juan Pablo Benavides [CRD: 4288007, Miami, Florida], given the public information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Benavides has worked for Merrill Lynch as a securities broker since November 22, 2000, and as a financial advisor since March 15, 2004. See below to find out more about […]
Investors potentially incurred losses because of securities broker Sandy Meyer Leff [CRD: 1796695, Atlanta, Georgia], according to information disclosed through Financial Industry Regulatory Authority (FINRA) BrokerCheck. Leff has worked for Carter Terry Company Inc. as a securities broker since October 6, 2016, and as a financial advisor since October 21, 2016. Keep reading to discover […]
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