DID LAWRENCE WILLIAM WALLER II CAUSE YOU INVESTMENT LOSSES?
Lawrence Waller, II Of SA Stone Wealth Management Inc Has 3 Customer Complaints For Alleged Broker Misconduct
Who is Lawrence Waller, II of SA Stone Wealth Management Inc?
Lawrence Waller, II (CRD #3232644) who is currently registered as a broker and investment adviser with SA Stone Wealth Management Inc and located in Atlanta, Georgia, is a subject of one of our many securities industry sales practice abuse investigations. Prior to SA Stone Wealth Management Inc, Lawrence Waller, II 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.
Lawrence Waller, II Customer Complaints
Lawrence Waller, II has been the subject of 3 customer complaints that we know about seeking to recover investment losses. Both customer complaints were denied by Lawrence Waller’s former employers and the investors took no further action. There is currently one for an arbitration proceeding pending against SA capstone Wealth Management for Lawrence Waller’s alleged misconduct that is still pending.
Allegations Against Lawrence Waller, II
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Forgery.
- The client’s deposit was mistakenly deposited into a nonqualified brokerage account.
- Breach of fiduciary duty because of failure to properly asset allocated and diversify client’s portfolio.
Lawrence Waller, II Red Flags & Your Rights As An Investor
Of course, Lawrence Waller, II 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 Lawrence Waller, II at SA Stone Wealth Management Inc on alert to review carefully the activity and performance of their accounts and question whether Lawrence Waller, II has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at SA Stone Wealth Management 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 SA Stone Wealth Management Inc Due To Lawrence Waller, II
If you have questions about SA Stone Wealth Management Inc and/or Lawrence Waller, II 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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