DID WILLIAM MARTIN BEASLEY CAUSE YOU INVESTMENT LOSSES?
About William Beasley of BHK Securities, LLC?
William Beasley (CRD #1750089) boasts an extensive history in the securities industry. Currently employed by and registered with BHK Securities, LLC and BHK Investment Advisors in Birmingham, Alabama since July 2021, Beasley holds a substantial number of registrations. His career includes affiliations with multiple firms, starting from his earliest registration in November 1987 at First Birmingham Securities Corporation. Over the years, he has been registered with notable firms like Morgan Stanley and Citigroup Global Markets Inc. Beasley’s qualifications include passing 3 principal/supervisory exams, 3 general industry/product exams, and 2 multi-state securities law exams. He is currently registered in 5 U.S. states and territories and is affiliated with one self-regulatory organization. His broad experience spans various supervisory and representative roles, which highlights his comprehensive industry knowledge and proficiency.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
William Beasley Customer Complaints and Reviews
William Beasley has several disclosures reported on his record:
- Regulatory Event (1): On April 12, 2022, a regulatory action was finalized by FINRA due to Beasley’s involvement in maintaining inaccurate books and records, specifically altering representative codes on trades. This led to a one-month suspension and a fine of $2,500, paid in full by Beasley on April 18, 2022.
- Customer Dispute (1): Currently pending, this dispute alleges that from November 2018 to May 2021, Beasley did not act in the best interest of a client regarding the management of their account, involving listed equities. No specified damage has been reported, and the case remains under arbitration with FINRA.
- Termination (1): Beasley was discharged from Morgan Stanley Smith Barney on June 18, 2021, due to transactions submitted under production numbers inconsistent with agreed terms with other representatives, leading to revenue discrepancies.
Allegations Against William Beasley
The specific allegations made against Kailen Elizabeth Gildersleeve Denton in the customer dispute are as follows:
- Theft or Possible Theft of Client Funds: The client alleged that Gildersleeve Denton stole or may have stolen an amount of $10,000.
- Demand for Accounting: The complaint included a demand for a detailed accounting of the client’s funds to trace the alleged loss.
William Beasley Red Flags & Your Rights As An Investor
Of course, William Beasley 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 William Beasley at BHK Securities, LLC on alert to review carefully the activity and performance of their accounts and question whether William Beasley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at BHK Securities, 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 BHK Securities, LLC Due To William Beasley
If you have questions about BHK Securities, LLC and/or William Beasley 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.
Rate this Post
Loading...