DID LISA LYNN WATERMAN CAUSE YOU INVESTMENT LOSSES?
Lisa Waterman Of Royal Alliance Associates, Inc. and Formerly with Signator Investors Inc. Has A Customer Complaint For Alleged Broker Misconduct
Who is Lisa Waterman of Royal Alliance Associates, Inc.?
Lisa Waterman (CRD #2598865) who is currently registered as a broker and investment advisor with Royal Alliance Associates, Inc. and located in Fort Wayne, Indiana, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Royal Alliance Associates, Inc., Lisa Waterman was associated with Signator Investors Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Lisa Waterman Customer Complaint
Lisa Waterman has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were customer’s trust account was overconcentrated in alternative investments involving promissory notes and business development companies. Royal Alliance Associates settled the customer complaint in favor of the investor.
Lisa Waterman Red Flags & Your Rights As An Investor
Of course, Lisa Waterman 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 Lisa Waterman at Royal Alliance Associates, Inc. and Signator Investors Inc. on alert to review carefully the activity and performance of their accounts and question whether Lisa Waterman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates, Inc. and Signator Investors 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 Royal Alliance Associates, Inc. Due To Lisa Waterman
If you have questions about Royal Alliance Associates, Inc., Signator Investors Inc. 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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