April 17, 2024

Walter Shoczolek In Avantax Client Disputes

Soreide Law Group is investigating potential investor claims of sales practice violations possibly committed by securities broker Walter Paul Shoczolek III [CRD: 4488009, Cornelius, North Carolina], given the disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Shoczolek worked for Avantax Investment Services Inc. from January 28, 2015, to October 2, 2023. Keep reading to learn more about the securities broker’s disclosures.

Avantax Client Accused Shoczolek Of Unsuitable, Unauthorized Trading

Specifically, on September 13, 2023, an Avantax Investment Services Inc. client filed FINRA Arbitration: 23-02405 about Walter Shoczolek. Supposedly, Shoczolek liquidated her investment without her authorization. Because of this, the investor apparently experienced damages on mutual funds. Therefore, the client requested $500,000 in compensation from Avantax Investment Services Inc. or Shoczolek. Evidently, this arbitration is pending a resolution.

Walter Shoczolek Allegedly Caused Avantax Client To Sustain Mutual Fund Damages

Particularly, a client of Avantax Investment Services contested Walter Shoczolek’s sales practices, according to a complaint. Allegedly, Shoczolek did not properly inform the client of the investments made in her account. It appears that Shoczolek caused the client to sustain damages on mutual funds. Consequently, Avantax opted to settle the matter on July 27, 2020, by compensating the client in the amount of $30,423.63.

Did You Sustain Losses Because Of Securities Broker Shoczolek?

Did you experience losses because of Walter Shoczolek? If so, reach out to Soreide Law Group online or at (888) 760-6552 and talk with a securities attorney concerning a potential recovery of your investment losses. Soreide Law Group has recovered losses for investors throughout the United States, works on a contingency fee basis, and advances all costs. Shoczolek and brokerage firms Shoczolek worked for deny accusations of sales practice violations.

Recent Posts

July 23, 2024
Christopher McCoy In Calton Client Complaints

Investors potentially sustained damages through securities broker Christopher Joseph McCoy [CRD: 4113108, Montclair, New Jersey], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Not only that, but FINRA sanctioned him for unauthorized trading. Evidently, Christopher McCoy worked for Calton Associates Inc. from August 31, 2012, to December 20, 2022. Below, you’ll find a […]

July 22, 2024
Brian Freeman In Securian Clients’ Complaints

Investors possibly experienced losses because of securities broker Brian Lee Freeman [CRD: 1379227, Newport Beach, California], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Brian Freeman worked for Securian Financial Services Inc. from June 23, 1988, to August 10, 2023. Here’s an overview of Brian Freeman’s disclosures. Securian Financial Services Inc. Investor […]

July 22, 2024
Andrew Komarow Barred By SEC, FINRA

Multiple securities regulators have barred securities broker Andrew M. Komarow [CRD: 5838564, West Hartford, Connecticut], according to disclosures on Financial Industry Regulatory Authority (FINRA) BrokerCheck. Evidently, Andrew Komarow worked for LPL Financial LLC from April 26, 2016, to December 22, 2022, and for Royal Alliance Associates Inc. from December 13, 2022, to January 4, 2023. […]

Contact us Nationwide USA
2401 E. Atlantic Blvd., Suite 305, Pompano Beach, FL 33062
Helping clients recover money across the USA
search
Copyright © 2022 Soreide Law Group, PLLC  |  All Rights Reserved
linkedin facebook pinterest youtube rss twitter instagram facebook-blank rss-blank linkedin-blank pinterest youtube twitter instagram