DID CHARLES THOMAS WINN CAUSE YOU INVESTMENT LOSSES?
About Charles Winn Of Avantax Investment Services, Inc.?
Charles Winn (CRD #4205077) is currently employed and registered with Avantax Advisory Services and Avantax Investment Services, Inc., both located in South Milwaukee, Wisconsin. He has been registered with Avantax since February 2018. Winn is licensed in seven U.S. states and territories and has passed two general industry/product exams (Series 7 and SIE) and two multi-state securities law exams (Series 66 and Series 63). His professional history includes previous registrations with MML Investors Services, LLC, MSI Financial Services, Inc., and other firms, indicating a diverse experience within the financial services industry.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Charles Winn Customer Complaints and Reviews
Charles T. Winn’s FINRA report lists one criminal action and one customer dispute:
- Criminal Action: A misdemeanor charge of retail theft was reported against Winn, occurring on October 19, 1999. The case was dismissed on December 20, 1999, by prosecutorial motion in the Wisconsin Circuit Court.
- Customer Dispute (Closed-No Action/Withdrawn/Dismissed/Denied): A customer dispute filed on May 26, 2023, alleged that the investments were not suitable and had lost value over three years, in addition to complaints about the level of service. The dispute was withdrawn on June 23, 2023, after clarification that the customer was expressing general concerns about market conditions rather than specific complaints about investment suitability or service.
Allegations Against Charles Winn
The allegations and accusations in the disclosed events are:
- Criminal Action: Charged with misdemeanor retail theft, specifically accused of intentionally taking merchandise valued under $1,000. The charge was dismissed without a plea.
- Customer Dispute: The allegations included unsuitable investment advice, loss of value in the customer’s accounts over a three-year period, and inadequate service. The customer later clarified that the complaint was more about general dissatisfaction with market conditions rather than specific actions by Winn.
Charles Winn Red Flags & Your Rights As An Investor
Of course, Charles Winn 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 Charles Winn at Avantax Investment Services, Inc. and on alert to review carefully the activity and performance of their accounts and question whether Charles Winn has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Avantax Investment Services, 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 Avantax Investment Services, Inc. Due To Charles Winn
If you have questions about Avantax Investment Services, Inc. and/or Charles Winn 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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