Advisor Alert: Our Attorneys Are Investigating Alan Mason For Investment Fraud
Did You Lose Money Because of c?
Filed: March 4, 2024
Alan Mason currently has one (1) pending customer complaint. Overall, he has been the subject of five (5) customer complaints and one (1) termination event. As an investor, you may be entitled to compensation for losses accrued due to mismanagement of your investments.
Let’s begin our Patil Law Advisor Alert with a summary report on Alan Mason.
Who Is Alan Mason of Bradley Woods & Co. Ltd?
- Advisor Name: Alan Mason
- Aliases: Alan M Mason, Alan Mark Mason
- CRD: 1302190
- Location: New York, New York
- Current Employer: Bradley Woods & Co. Ltd
- Previous Firms: Westpark Capital, Inc. and Wilmington Capital Securities, LLC
- Number of Known Customer Complaints: 5
- Number of Known Termination Events: 1
- Can Alan Mason Be Sued: Yes, in Private Arbitration
- Can Alan Mason’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: $5,000,000
- Highest Settlement: $50,000
If you have suffered investment losses by Alan Mason, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a breach of fiduciary duty lawyer. Reach out to the legal team at Patil Law, P.C. via the secure online form or call the firm directly toll-free at 1-800-950-6553.
Customer Complaints Filed Against Alan Mason For Broker Misconduct
As of this publication date, Alan Mason has been the subject of 5 customer disputes and 1 termination event. Let’s review them below.
In August 2022, a FINRA arbitration was filed against or in reference to Alan Mason by a customer of Westpark Capital, Inc. alleging breach of fiduciary duty and unsuitability. The client purchased an investment and the company filed for Chapter 11 bankruptcy. Per the customer, he/she lost over $5,000,000 because of Mr. Mason’s actions. As of this publication date, this claim remains pending.
In June 2022, a FINRA arbitration was filed against or in reference to Alan Mason by a customer of Westpark Capital, Inc. alleging improper recommendation, failure to perform due diligence, and unsuitability. Per the customer, he/she lost over $100,000 because of Mr. Mason’s actions. On March 27, 2023, Mr. Mason settled the claim for $33,200, and some or all of this amount may have been paid by Mr. Mason’s employer and/or insurance carrier.
In February 2009, a complaint was filed against or in reference to Alan Mason by a customer of Gunnallen Financial, Inc. alleging unauthorized transactions and unsuitable transactions. The customer alleges these matters occurred from November 2008 through February 2009. Per the customer, he/she lost over $5,000 because of Mr. Mason’s actions. On May 12, 2009, Mr. Mason settled the claim for $25,000.
In May 2002, a complaint was filed against or in reference to Alan Mason by a customer of Gruntal & Co., L.L.C. alleging that Mr. Mason overly concentrated her portfolio with unsuitable, speculative securities. Per the customer, she lost over $525,000 because of Mr. Mason’s actions. On October 17, 2002, Mr. Mason settled the claim for $30,000.
In August 2000, a complaint was filed against or in reference to Alan Mason by a customer of First Union Securities Inc. alleging unauthorized trades which have no merit. Per the customer, he/she lost over $47,000 because of Mr. Mason’s actions. On November 27, 2000, Mr. Mason settled the claim for $50,000 and some or all of this amount may have been paid by Mr. Mason’s employer and/or insurance carrier.
In August 2000, Alan Mason was permitted to resign from First Union Securities Inc. for failure to adhere to firm policy with respect to discretionary account procedures.
How To File A Claim Against Alan Mason of Bradley Woods & Co. Ltd (previously with Westpark Capital, Inc. and Wilmington Capital Securities, LLC) To Get Your Money Back
If you have questions about Alan Mason, Bradley Woods & Co. Ltd, Westpark Capital, Inc., Wilmington Capital Securities, LLC, or the management or performance of your accounts, please contact Attorney Patil for a free initial consultation via email or toll-free at 1-800-950-6553.