DID JOHN RICHMOND CAUSE YOU INVESTMENT LOSSES?
John Richmond was recently fired from WEA Investment Services for failing to disclose a prior insurance license revocation
Who is John Richmond formerly with WEA Investment Services?
John Richmond (CRD #7312659) , located in Madison, Wisconsin, who was formerly registered as a broker with WEA Investment Services and located in Madison, Wisconsin, 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.
John Richmond Employment History and Termination
John Richmond has worked in the securities industry for approximately three years. He was registered with two firms: WEA Investment Services, Inc. (03/2024 – 11/2024) and Investment Services, LLC (12/2021 – 11/2022). His employment with Northwestern Mutual included roles related to investment services and wealth management.
He has passed two general industry/product exams and one multi-state securities law exam but has no principal or supervisory certifications.
Termination: WEA Investment Services, Inc. ended Richmond’s employment on October 21, 2024. This termination was related to a compliance issue: he did not disclose a prior insurance license revocation by the State of Wisconsin on his Form U4 when joining the firm.
Negative Disclosures Summary
- Termination:
- Date: October 21, 2024
- Details: Richmond was terminated by WEA Investment Services, Inc. for failing to disclose a prior insurance license revocation by the State of Wisconsin on his Form U4.
John Richmond 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 John Richmond is a red flag which should put all current and former customers of John Richmond at WEA Investment Services on alert to review carefully the activity and performance of their accounts and question whether John Richmond engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at WEA Investment Services 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 WEA Investment Services Due To John Richmond
If you have questions about WEA Investment Services and/or John Richmond 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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