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.
In a recent article from Financial Advisor they state that the customers of Kestra have filed a complaint against the broker/dealer with the Financial Industry Regulatory Authority’s (FINRA) arbitration service. The article states that the customers allege that one of Kestra’s representatives led them to a volatile and unsuitable exchange-traded product. Additionally, they allege he […]
Investors potentially incurred losses because of securities broker Diego Soares Bacellar [CRD: 6808326, Miami, Florida], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Diego Bacellar worked for Northwestern Mutual Investment Services LLC from April 8, 2019, to May 1, 2026. Investors are encouraged to continue reading to discover more about the disclosures involving […]
Investors apparently complained about securities broker Mark Allen Herding [CRD: 2239357, Phoenix, Arizona], based on disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Herding worked for Cambridge Investment Research Inc. from October 19, 2012, to February 14, 2018, and Cambridge Investment Research Advisors Inc. from November 15, 2012, to February 14, 2018. Since January 31, […]
Phone:
Fax: 1-954-760-6553
Email: info@securitieslawyer.com