Northwestern Mutual Complaints - Law Offices of Robert Wayne Pearce, P.A

Douglas Dawson of Northwestern Mutual Investment Services

DID DOUGLAS ARLIN DAWSON CAUSE YOU INVESTMENT LOSSES? Douglas Dawson of Northwestern Mutual Investment Services Has a Customer Complaint for Alleged Broker Misconduct Who is Douglas Dawson of Northwestern Mutual Investment Services? Douglas Dawson (CRD #1362983) who is currently registered with Northwestern Mutual Investment Services and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Douglas Dawson Customer Complaint Douglas Dawson has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were the customer alleged that Douglas Dawson began a personal relationship with her in order to influence her to choose him as her representative and she alleged serious concerns about whether the advice she was given regarding her investment accounts when he was her representative, was suitable and appropriate. Douglas Dawson’s customer complaint was settled in favor of the investors. Douglas Dawson Red Flags & Your Rights as an Investor Of course, Douglas Dawson 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 that should put all current and former customers of Douglas Dawson at Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Douglas Dawson has engaged in any stockbroker misconduct that may have caused them investment losses. A large number of customer complaints at Northwestern Mutual 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. File A Claim to Recover Your Investment Losses at Northwestern Mutual Investment Services Due to Douglas Dawson If you have questions about Northwestern Mutual Investment Services and/or Douglas Dawson 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.

Jan 20, 2022

Brian Btesh of Northwestern Mutual Investment Services, LLC

DID BRIAN BTESH CAUSE YOU INVESTMENT LOSSES? Brian Btesh formerly with Northwestern Mutual Investment Services, LLC Has 2 Customer Complaints For Alleged Broker Misconduct In the Past 2 Years Who is Brian Btesh formerly with Northwestern Mutual Investment Services, LLC? Brian Btesh (CRD #6112889) who was formerly registered with Northwestern Mutual Investment Services, LLC and located in Aventura, Florida is a subject of one of our many securities industry sales practice abuse investigations. Northwestern Mutual Investment Services, LLC is an investment advisory and brokerage firm with a history of customer complaints. Rather than terminate Brian Btesh for apparent misconduct, Northwestern Mutual Investment Services, LLC permitted him to resign from his position after a review of sales practice complaints, including his applying large payments to premium and initiating policy changes promptly after the payments are exhausted; initiating and collecting payment amounts which were inconsistent with the amounts of premiums due; and basing the amount of the policy, death benefit on the corresponding premium amount, rather than the client need. Rather than terminate him for suspected forgery, and admissions that he altered documentation, they permitted him to resign. Based on the foregoing, one wonders what it would take for Northwestern Mutual Investment Services, LLC to terminate any financial advisor for misconduct. Northwestern Mutual Investment Services, LLC Broker Misconduct In his career, Brian Btesh has been the subject of 2 customer complaints that we know about, both of those complaints were filed in the last 2 years to recover investment losses. Both of Brian Btesh’s customer complaints were settled in favor of investors. Allegations Against Brian Btesh A sample of the allegations made in the FINRA reported arbitration claim settlements for investment losses are as follows: A customer alleged that she did not sign policy change forms for 2 non-variable life insurance policies. Another customer alleged that she had not signed forms related to changes for her 3 non-variable life insurance policies or even requested any policy changes. Brian Btesh Red Flags & Your Rights As An Investor Of course, Brian Btesh 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 Brian Btesh at Northwestern Mutual Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Brian Btesh has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment Services, LLC about Brian Btesh also raises questions about its supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor. File A Claim To Recover Your Investment Losses At Northwestern Mutual Investment Services, LLC If you have questions about Northwestern Mutual Investment Services, LLC and/or Brian Btesh 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.