DID Laura Shrawder-Miles CAUSE YOU INVESTMENT LOSSES?
Laura Shrawder-Miles Of Kovack Securities Inc. Has 5 Customer Complaints For Alleged Broker Misconduct
About Laura Shrawder-Miles of Kovack Securities Inc.?
Laura Shrawder-Miles (CRD #2384721) is currently registered with Kovack Advisors, Inc. as a financial advisor and Kovack Securities Inc. as a registered broker in Sunbury, Pennsylvania, having started with these firms in February 2020. Her career spans multiple firms, including LPL Financial LLC and Private Advisor Group, LLC, showcasing extensive experience within the industry. She is licensed in two U.S. states and territories and has passed three general industry/product exams along with two multi-state securities law exams. Her registrations indicate a focused expertise in general securities and investment advisory services.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Laura Shrawder-Miles Customer Complaints and Reviews
Laura Shrawder-Miles has several disclosed events:
- Customer Disputes (5 total):
- Settled disputes include cases regarding recommendations deemed unsuitable for clients’ portfolios, involving products like BDCs, REITs, and closed-end mutual funds, with settlements ranging up to $5,250.
- Pending disputes concern allegations of unsuitable investments made in 2014, with details and damages still under review.
- Termination (1 incident):
- Discharged from LPL Financial LLC in October 2019 due to misrepresentation during a phone call with an annuity sponsor to obtain client information.
Allegations Against Laura Shrawder-Miles
- Unsuitable Investment Recommendations: Allegations primarily focus on investments that were purportedly unsuitable given the clients’ financial situations and objectives, involving various securities such as BDCs, REITs, and mutual funds.
- Misrepresentation: In one termination incident, Shrawder-Miles was accused of misrepresenting her identity to gain information from an annuity sponsor, which led to her discharge.
- Breach of Conduct Standards: The termination also implies a breach of standard conduct expected within the industry regarding truthful representation and ethical handling of client information.
Laura Shrawder-Miles Red Flags & Your Rights As An Investor
Of course, Laura Shrawder-Miles 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 Laura Shrawder-Miles at Kovack Securities Inc. on alert to review carefully the activity and performance of their accounts and question whether Laura Shrawder-Miles has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Kovack Securities 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 Kovack Securities Inc. Due To Laura Shrawder-Miles
If you have questions about Kovack Securities Inc. and/or Laura Shrawder-Miles 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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