DID SCOTT OFFERMAN CAUSE YOU INVESTMENT LOSSES?
About Scott Offerman Of 1031 Securities Inc.?
Scott Offerman (CRD #4619093) is currently registered with 1031 Securities Inc. in New York, New York, having joined the firm on March 20, 2024. He holds licenses in 10 U.S. states and territories and is affiliated with one Self-Regulatory Organization (SRO). Offerman has passed three general industry/product exams, including the Securities Industry Essentials Examination, Direct Participation Programs Representative Examination, and Investment Company Products/Variable Contracts Representative Examination. Additionally, he has passed one multi-state securities law exam, the Uniform Securities Agent State Law Examination. His career includes previous registrations with firms such as Great Point Capital LLC, TCFG Wealth Management, LLC, and Nextrend Securities, Inc.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Scott Offerman Customer Complaints and Reviews
- Customer Dispute (1 Incident)
- A customer dispute initiated on August 22, 2023, alleges breach of fiduciary duty, violation of FINRA/NYSE/SEC rules and regulations, breach of contract, negligence, and violation of NY Consumer Protection Statute related to investments made on July 20, 2015. The claimed damages amount to $1,000,000. This arbitration is currently pending under FINRA docket #23-02260.
- Termination (1 Incident)
- Offerman was permitted to resign from Concorde Investment Services on April 12, 2017, due to failure to disclose reportable liens on his Form U4 in a timely manner.
Allegations Against Scott Offerman
- Allegations in Customer Dispute:
- Breach of fiduciary duty.
- Violation of FINRA/NYSE/SEC rules and regulations.
- Breach of contract.
- Negligence.
- Violation of NY Consumer Protection Statute.
- Allegations Related to Termination:
- Failure to disclose reportable liens in a timely manner as required by regulatory standards.
Scott Offerman Red Flags & Your Rights As An Investor
Of course, Scott Offerman 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 Scott Offerman at 1031 Securities Inc., Great Point Capital LLC and TCFG Wealth Management, LLC on alert to review carefully the activity and performance of their accounts and question whether Scott Offerman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at 1031 Securities Inc., Great Point Capital LLC and TCFG Wealth Management, LLC also raises questions about the brokerage firms’ 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 1031 Securities Inc. Due To Scott Offerman
If you have questions about 1031 Securities Inc., Great Point Capital LLC, TCFG Wealth Management, LLC and/or Scott Offerman 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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