The Financial Industry Regulatory Authority (FINRA) reports important information about securities broker Tony Liddle (also known as Anthony Baker Liddle) (CRD: 5478479, Oshkosh, WI). Evidently, investors disputed the sales practices of the securities broker, who worked for Landolt Securities Inc. Additionally, the securities broker discloses a regulatory enforcement action. Read on to learn more about the allegations against Liddle.
Notably, a client of Landolt Securities Inc. contested Tony Liddle’s sales practices, according to a complaint dated October 31, 2022. Allegedly, Liddle received funds in exchange for a promissory note. Supposedly, Liddle caused the client to sustain damages. Therefore, the client seeks compensatory relief from Landolt Securities Inc. or Liddle in the amount of $110,000 in this ongoing matter.
Also, on August 29, 2022, a Landolt Securities Inc. client filed a complaint about Tony Liddle. Namely, the client alleged that Liddle converted funds. Because of this, the client allegedly sustained damages. Therefore, the client requested $1,755,189.31 in compensation from Landolt Securities Inc. or Liddle. Evidently, this complaint is pending a resolution.
Additionally, a client of Landolt Securities Inc. contested Tony Liddle’s sales practices, according to a complaint dated July 14, 2022. Allegedly, Liddle converted funds. Supposedly, Liddle caused the client to sustain damages by investing in variable annuities and promissory notes. Therefore, the client seeks compensatory relief from Landolt Securities Inc. or Liddle in the amount of $125,000 in this ongoing matter.
Evidently, on July 8, 2022, a Landolt Securities Inc. client filed FINRA Arbitration: 22-01529 about Tony Liddle. Namely, the client alleged that Liddle received funds in exchange for a promissory note. Because of this, the client allegedly sustained damages. Therefore, the client requested $498,000 in compensation from Landolt Securities Inc. or Liddle. This arbitration is pending a resolution.
Also, a client of Landolt Securities Inc. contested Tony Liddle’s sales practices, according to a complaint dated July 1, 2022. Allegedly, Liddle converted funds. Supposedly, Liddle caused the client to sustain damages. Therefore, the client seeks compensatory relief from Landolt Securities Inc. or Liddle in this ongoing matter.
Evidently, on June 14, 2022, FINRA issued Case: 2021071099401 sanctioning Tony Liddle for infractions. Specifically, Liddle was barred as a securities broker. Notably, FINRA claims that Liddle failed to testify when FINRA investigated the securities broker for possibly violating FINRA rules.
Mainly, FINRA began a cause investigation into Liddle concerning allegations that Liddle borrowed over $1.8 million from 13 clients during the time he was associated with Western International Securities and Landolt Securities. In connection with the investigation, FINRA sent Liddle a request for the production of documents and information and a request to appear for testimony on June 2, 2022. On June 9, 2022, Liddle indicated that he had received FINRA’s request but would not produce the information or documents and that he would not appear for testimony at any time. Liddle violated FINRA Rules 2010 and 8201 as a result.
Moreover, Wisconsin issued Case: 244949 on June 9, 2022, sanctioning Tony Liddle for infractions. Allegedly, Liddle borrowed from a client and made omissions about GWG L-Bonds. Therefore, Liddle was barred as a securities broker.
Also, on May 23, 2022, Landolt Securities Inc. disaffiliated with Liddle. Evidently, Landolt Securities Inc. alleged that Liddle placed a client's funds into a Prosper Wealth Management account when the funds were intended for GWG investments.
Have you suffered damages through Tony Liddle? You should contact Soreide Law Group at (888) 760-6552 and talk with a securities attorney about a possible recovery of your investment losses. Soreide Law Group, who has successfully recovered money for hundreds of investors in the United States, can review your situation and explain your legal options. Also, the firm represents clients on a contingency fee basis and advances all costs. Liddle and brokerage firms Liddle worked for deny any and all allegations of sales practice violations.
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