Investors potentially experienced losses because of securities broker Teddy R. Ezzell III [CRD: 1527524, Fort Collins, Colorado], according to disclosures on FINRA BrokerCheck. Ezzell has worked for LPL Financial LLC since December 15, 2014, and Western Wealth Management LLC since June 22, 2016. Read on to learn more about the disclosures concerning Ezzell and how they may have impacted investors.
Also, a Momentum Independent Network Inc. client filed FINRA Arbitration No. 24-00750 about Teddy Ezzell. The client alleged that Ezzell breached his fiduciary duty, made unsuitable recommendations, and misrepresented investment information. Additionally, the client accused the firm of failing to supervise. Because of these alleged actions, the client sustained damages on non-traded real estate investment trusts. Therefore, on May 30, 2024, Momentum Independent Network Inc. settled this matter by paying the client $35,000 in damages.
Particularly, a client of Southwest Securities Inc. contested Teddy Ezzell’s sales practices, according to a complaint dated February 8, 2024. Allegedly, Ezzell made unsuitable recommendations regarding a real estate security. It appears that Ezzell allegedly caused the client to sustain damages. Therefore, the client sought damages from Southwest Securities Inc. or Ezzell in this matter. However, the complaint was closed with no action as of April 3, 2024.
Are you looking for more information about Teddy Ezzell? If you incurred losses, reach out to Soreide Law Group online or at (888) 760-6552 and talk to a securities attorney concerning a possible recovery. Soreide Law Group has recovered losses for investors throughout the country, represents clients on a contingency fee basis, and advances all costs. Ezzell and brokerage firms Ezzell worked for deny accusations of sales practice violations.
Soreide Law Group is investigating potential investor claims involving RAD Diversified REIT Inc., specifically focusing on whether brokers or financial advisors improperly recommended this non-traded real estate investment trust despite mounting red flags. RAD Diversified REIT raised investor funds to acquire and manage real estate assets nationwide, positioning itself as an accessible way for individuals […]
Investors apparently complained about securities broker Richard James Carlesco Jr. [CRD: 2135988, Liverpool, New York], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Carlesco worked for IBN Financial Services Inc. from October 24, 2000, to the present, and later registered with Cambridge Investment Research Inc. and Cambridge Investment Research Advisors Inc. beginning April […]
Investors potentially experienced sales practice violations by securities broker Steven Wallace Schmitt [CRD: 4486457, Paramus, New Jersey], according to publicly available information found on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Schmitt worked for Raymond James Associates Inc. since November 9, 2022, and previously worked for Morgan Stanley from October 7, 2016, to November 29, 2022. […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com