DID DAVID ALLEN SHAW CAUSE YOU INVESTMENT LOSSES?
About David Shaw of Avantax Investment Services, Inc.?
David Shaw (CRD #5042178) is registered with Avantax Advisory Services and Avantax Investment Services, Inc., both located in Yuba City, California. He has been with Avantax since December 1, 2005, demonstrating a longstanding commitment to his current firm. Shaw is licensed in 17 U.S. states and territories and is associated with one Self-Regulatory Organization (SRO). Over his career, he has passed three general industry/product exams and two multi-state securities law exams. His extensive registration history, combined with a significant number of state licenses, highlights his broad compliance with regulatory requirements and his capability to serve a diverse client base.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
David Shaw Customer Complaints and Reviews
David Allen Shaw has one reported customer dispute:
- Pending Customer Dispute (2021):
- Date Complaint Received: May 9, 2024
- Allegations: The client alleged that Shaw did not provide adequate advice regarding an existing variable annuity prior to its surrender, resulting in financial loss.
- Alleged Damages: $10,000
- Status: The complaint is currently pending with no final resolution or settlement recorded as of the latest update.
Allegations Against David Shaw
- Inadequate Financial Advice: The customer claims that Shaw failed to offer sufficient guidance on the management of a variable annuity, leading to a decision that purportedly resulted in financial detriment to the client.
David Shaw Red Flags & Your Rights As An Investor
Of course, David Shaw 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 David Shaw at Avantax Investment Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether David Shaw 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 firms’ 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 David Shaw
If you have questions about Avantax Investment Services, Inc. and/or David Shaw 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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