DID SPENCER MATTHEW HERSHEY CAUSE YOU INVESTMENT LOSSES?
About Spencer Hershey Of Northwestern Mutual Investment Services, LLC?
Spencer Hershey (CRD #5680229) has been associated with Northwestern Mutual Investment Services, LLC in Canton, Ohio since August 30, 2010. He is licensed in 34 U.S. states and territories and registered with one self-regulatory organization. Hershey has passed one principal/supervisory exam, three general industry/product exams, and one multi-state securities law exam. His qualifications include the Series 26 (Investment Company Products/Variable Contracts Principal Examination), Series 7 (General Securities Representative Examination), Series 6 (Investment Company Products/Variable Contracts Representative Examination), and Series 63 (Uniform Securities Agent State Law Examination). These credentials underscore his comprehensive knowledge base and versatility in the financial services industry
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Spencer Hershey Customer Complaints and Reviews
Spencer M. Hershey has one reported customer dispute:
- Customer Dispute (Closed-No Action / Withdrawn / Dismissed / Denied): A complaint was lodged against Hershey alleging that he failed to follow instructions to transfer assets out of a fee-based advisory account in July 2019, leading to additional advisory fees. The complaint, which sought damages of $5,051.85, was received on September 16, 2020. Following a review, the firm did not find evidence supporting the customer’s claim and the complaint was denied on October 15, 2020.
Allegations Against Spencer Hershey
- Allegation of Non-Compliance with Client Instructions: The customer alleged that Hershey did not execute an instruction to transfer assets out of a fee-based advisory account, which purportedly resulted in unnecessary advisory fees. This matter was thoroughly reviewed and subsequently dismissed by the firm, indicating no substantiated wrongdoing on Hershey’s part.
Spencer Hershey Red Flags & Your Rights As An Investor
Of course, Spencer Hershey did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Spencer Hershey at Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Spencer Hershey has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment Services, LLC also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At Northwestern Mutual Investment Services, LLC Due To Spencer Hershey
If you have questions about Northwestern Mutual Investment Services, LLC and/or Spencer Hershey and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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