Stuart Haw Involved In Investor Disputes Alleging Negligence

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Stuart Bryan Haw [CRD: 2905167, Bradenton, Florida], based on the disclosures on the Financial Industry Regulatory Authority (FINRA) BrokerCheck. Here’s more about the investor disputes involving Stuart Haw.

Cetera Advisors LLC Investor Accused Haw Of Unsuitable Investment Recommendations

Evidently, a Cetera Advisors LLC client filed FINRA Arbitration No. 20-02784 about Stuart Haw. Notably, the client alleged that Haw made unsuitable investment recommendations. Therefore, the client allegedly sustained damages on business development companies and mutual funds. Consequently, on February 26, 2021, the firm settled this matter by paying the client $1,500 in damages.

Stuart Haw Disclosed Breach Of Fiduciary Duty, Misrepresentation Accusations By ICC Client

Particularly, a client of ICC contested Stuart Haw’s sales practices by filing FINRA Arbitration No. 20-00959. Allegedly, Haw breached his fiduciary duty, made material misrepresentations and omissions, and provided unsuitable advice. Therefore, ICC opted to settle the matter on February 26, 2021, by compensating the client in the amount of $39,000.

Haw Disclosed Negligence Allegations By Investors Capital Corporation Client

Notably, a client of Investors Capital Corporation contested Stuart Haw’s sales practices, according to a complaint dated November 29, 2001. Allegedly, Haw was negligent for failing to process a change of beneficiary in a timely manner. Because of this, the client sought compensatory relief from Investors Capital Corporation or Haw. However, the firm closed this dispute without a resolution.

Did You Sustain Losses Because Of Securities Broker Stuart Haw?

Experienced losses due to Stuart Haw? If so, get in touch with Soreide Law Group online or at (888) 760-6552 and talk with a securities lawyer concerning a potential 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. Haw and the brokerage firms he worked for deny any allegations of sales practice violations.