DID DAVID MICHAEL WARD CAUSE YOU INVESTMENT LOSSES?
David Ward Formerly With Sovran Advisors, LLC was terminated on September 20, 2024, following allegations of policy violations regarding client communication and text message retention
Who is David Ward formerly with Sovran Advisors, LLC?
David Ward (CRD #1555648) who was formerly registered as a broker with Sovran Advisors, LLC and located in San Diego, California, is a subject of one of our many securities industry sales practice abuse investigations.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
David Ward Employment History and Termination
David M. Ward has an extensive career spanning several firms. Most recently, he was associated with Sovran Advisors, LLC from February 2024 until September 2024. He has also worked with firms like MML Investors Services, LLC and Lincoln Financial Advisors, among others. Mr. Ward is currently employed with Cetera Advisor Networks LLC as of February 22, 2024, registered in 14 U.S. states and territories.
During his career, Mr. Ward passed two general industry/product exams and two multi-state securities law exams:
- General Industry/Product Exams:
- Securities Industry Essentials Examination (SIE) on October 1, 2018
- General Securities Representative Examination (Series 7) on December 27, 2016
- State Securities Law Exams:
- Uniform Securities Agent State Law Examination (Series 63) on January 3, 2017
- Uniform Investment Adviser Law Examination (Series 65) on January 13, 2000
David Ward was terminated by Sovran Advisors, LLC on September 20, 2024. The allegations involved breaches of firm policies, including communications with clients and text message retention, as well as requesting a personal loan from a client. Additionally, the firm accused him of misleading them during their investigation.
Negative Disclosure
- Employment Separation After Allegations
- Date: September 20, 2024
- Firm: Sovran Advisors, LLC
- Allegations:
- Violation of policies concerning client communications and text message retention.
- Breach of fiduciary duty by requesting a personal loan from a client.
- Misleading the firm during its subsequent investigation.
David Ward Red Flags & Your Rights As An Investor
Regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint was filed, the termination of David Ward is a red flag which should put all current and former customers of David Ward at Cetera Advisor Networks LLC or Sovran Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether David Ward engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisor Networks LLC or Sovran Advisors, LLC 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 Cetera Advisor Networks LLC or Sovran Advisors, LLC Due To David Ward
If you have questions about Cetera Advisor Networks LLC or Sovran Advisors, LLC and/or David Ward 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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