DID THOMAS J HARTFIELD CAUSE YOU INVESTMENT LOSSES?
Thomas Hartfield Formerly With Western International Securities, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct
About Thomas Hartfield formerly with Western International Securities, Inc.?
Thomas Hartfield (CRD #4664847) has over 30 years of experience in the securities industry. He has worked for several firms during his career, including Western International Securities, Inc., GBS Financial Corp., and LPL Financial Corporation. He is no longer currently registered as a broker. Hartfield has passed five major exams, including 1 principal/supervisory exam, 2 general industry/product exams, and 2 multi-state securities law exams. He holds multiple state licenses and has held senior roles such as President at his own financial firm, Hartfield Financial & Insurance Services, Inc., since 1991.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Thomas Hartfield Customer Complaints and Reviews
Hartfield has two customer disputes in his record:
- Customer Dispute 03/24/2021: A settled customer dispute where the client alleged unsuitability and misrepresentation involving alternative investments. The claim was for $60,000 in damages, but the matter was settled for $20,000 without any contribution from Hartfield.
- Pending Customer Dispute 07/18/2024: A pending arbitration filed through FINRA regarding unsuitable investment recommendations related to direct investments and mutual funds. The customer is seeking $400,000 in damages.
Allegations Against Thomas Hartfield
In the customer disputes, allegations include unsuitable investment recommendations and misrepresentation. The first case has been settled for $20,000. The second arbitration case remains pending, with the customer alleging unsuitability regarding investment choices and seeking $400,000 in damages.
Thomas Hartfield Red Flags & Your Rights As An Investor
Of course, Thomas Hartfield 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 Thomas Hartfield at Western International Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Thomas Hartfield has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Western International Securities, Inc. 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 Western International Securities, Inc. Due To Thomas Hartfield
If you have questions about Western International Securities, Inc. and/or Thomas Hartfield 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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