DID LEONARD HOWARD ROTHSTEIN CAUSE YOU INVESTMENT LOSSES?
Leonard Rothstein Of Wilson Davis & Co., Inc. Has 2 Customer Complaints For Alleged Broker Misconduct
Who is Leonard Rothstein of Wilson Davis & Co., Inc.?
Leonard Rothstein (CRD #868099) who is currently registered with Wilson Davis & Co., Inc. and located in Salt Lake City, Utah, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wilson Davis & Co., Inc., Leonard Rothstein was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Leonard Rothstein Customer Complaints
Leonard Rothstein has been the subject of 2 customer complaints that we know about to recover investment losses. One customer complaint was settled by HJ Myers in favor of the investor. The other customer complaint was recently denied by Wilson-Davis and Company and withdrawn by the customer.
Allegations Against Leonard Rothstein
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Failure to follow customer’s instructions to sell certain stock.
- Negligence pertaining to the hiring of a broker at HJ Myers.
Leonard Rothstein Red Flags & Your Rights As An Investor
Of course, Leonard Rothstein 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 Leonard Rothstein at Wilson Davis & Co., Inc. on alert to review carefully the activity and performance of their accounts and question whether Leonard Rothstein has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wilson Davis & Co., 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 Wilson Davis & Co., Inc. Due To Leonard Rothstein
If you have questions about Wilson Davis & Co., Inc. and/or Leonard Rothstein 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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