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.
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, […]
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