DID SUSAN M DUKE CAUSE YOU INVESTMENT LOSSES?
Susan Duke Formerly With Transamerica Financial Advisors, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct
Who is Susan Duke formerly with Transamerica Financial Advisors, Inc.?
Susan Duke (CRD #4751297) who was formerly registered with Transamerica Financial Advisors, Inc. and located in Johns Creek, Georgia, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Transamerica Financial Advisors, Inc., Susan Duke was associated with Money Concepts Capital Corp. and 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.
Susan Duke Customer Complaints
Susan Duke has been the subject of 2 customer complaints that we know about seeking to recover investment losses. Both of these customer complaints evolved into FINRA arbitration proceedings that were subsequently settled by Transamerica Financial Advisors in favor of the investors or Susan Duke’s alleged misconduct.
Allegations Against Susan Duke
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Material misrepresentations concerning a REIT investment that was also an unsuitable investment recommendation.
- Customers complained about being placed in risky speculative REIT investments there unsuitable for their investment portfolios.
Susan Duke Red Flags & Your Rights As An Investor
Of course, Susan Duke 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 Susan Duke at Transamerica Financial Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Susan Duke has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Transamerica Financial Advisors, 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 Transamerica Financial Advisors, Inc. Due To Susan Duke
If you have questions about Transamerica Financial Advisors, Inc. and/or Susan Duke 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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