Category: Royal Alliance Associates

Did You Lose Money Because of Susan Moseley?

Filed: February 9, 2024

Susan Moseley (also known as Susan Charity Shepard) currently has one (1) pending customer complaint. Overall, he has been the subject of one (1) customer complaint. 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 Susan Shepard Moseley.

Who Is Susan Shepard Moseley?

• Advisor Name: Susan Shepard Moseley
• Aliases: Susan Charity Moseley, Susan Charity Shepard
• CRD: 871967
• Location: Bradenton, Florida
• Current Employer: Currently Not Registered
• Previous Firms: Royal Alliance Associates, Inc., Investment Management & Research, Inc., and Barnett Brokerage Service, Inc.
• Number of Known Customer Complaints: 1
• Can Susan Moseley Be Sued: Yes, in Private Arbitration
• Can Susan Moseley’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $5,000
• Highest Settlement: Unknown

If you have suffered investment losses by Susan Moseley, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud 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 Susan Moseley For Broker Misconduct

As of this publication date, Susan Moseley has been the subject of 1 customer dispute. Let’s review it below.

In September 2023, a complaint was filed against or in reference to Susan Moseley by a customer of Moseley Investment Management, Inc. alleging that between November 2021 and May 2022, Ms. Moseley failed to diversify out of a concentration position and lack of downside protection. Per the customer, he/she lost over $5,000 because of Ms. Moseley’s actions. As of this publication date, this claim remains pending.

How To File A Claim Against Susan Moseley (previously with Royal Alliance Associates, Inc., Investment Management & Research, Inc., and Barnett Brokerage Service, Inc.) To Get Your Money Back

If you have questions about Susan Moseley, Royal Alliance Associates, Inc., Investment Management & Research, Inc., Barnett Brokerage Service, Inc., 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.

Did You Lose Money Because of Ryan Moseley?

Filed: February 9, 2024

Ryan Moseley currently has one (1) pending customer complaint. Overall, he has been the subject of one (1) customer complaint. 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 Ryan Thomas Moseley.

Who Is Ryan Thomas Moseley?

• Advisor Name: Ryan Thomas Moseley
• Aliases: Ryan Moseley
• CRD: 5160880
• Location: Bradenton, Florida
• Current Employer: Currently Not Registered
• Previous Firms: Royal Alliance Associates, Inc.
• Number of Known Customer Complaints: 1
• Can Ryan Moseley Be Sued: Yes, in Private Arbitration
• Can Ryan Moseley’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $5,000
• Highest Settlement: Unknown

If you have suffered investment losses by Ryan Moseley, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a failure to supervise 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 Ryan Moseley For Broker Misconduct

As of this publication date, Ryan Moseley has been the subject of 1 customer dispute. Let’s review it below.

In September 2023, a complaint was filed against or in reference to Ryan Moseley by a customer of Moseley Investment Management, Inc. alleging that between November 2021 and May 2022, the client failed to diversify out of a concentration position and lack of downside protection. Unauthorized trading with respect to investments. Per the customer, he/she lost over $5,000 because of Mr. Moseley’s actions. As of this publication date, this claim remains pending.

How To File A Claim Against Ryan Moseley (previously with Royal Alliance Associates, Inc.) To Get Your Money Back

If you have questions about Ryan Moseley, Royal Alliance Associates, Inc., 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.

Did You Lose Money Because of Bill Collins?

Filed: October 26, 2023

Bill Collins (also known as William Calvin Collins) has been the subject of one (1) customer complaint. 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 William Calvin Collins.

Who Is William Calvin Collins of Osaic Wealth, Inc.?

• Advisor Name: William Calvin Collins
• Aliases: Bill Collins
• CRD: 1230925
• Location: Lakeway, Texas
• Current Employer: Osaic Wealth, Inc.
• Previous Firms: Collins Financial Planning, Inc. and Integrated Resources Equity Corporation
• Number of Known Customer Complaints: 1
• Can Bill Collins Be Sued: Yes, in Private Arbitration
• Can Bill Collins’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $32,787
• Highest Settlement: Unknown

If you have suffered investment losses by Bill Collins, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a failure to supervise 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 Bill Collins For Broker Misconduct

As of this publication date, Bill Collins has been the subject of 1 customer dispute. Let’s review it below.

In April 2020, a complaint was filed against or in reference to Bill Collins by a customer of Royal Alliance Associates, Inc. alleging that Mr. Collins failed to follow instructions resulting in trading losses. Per the customer, he/she lost over $32,787 because of Mr. Collins’s actions.

How To File A Claim Against Bill Collins of Osaic Wealth, Inc. (previously with Collins Financial Planning, Inc. and Integrated Resources Equity Corporation) To Get Your Money Back.

If you have questions about Bill Collins, Osaic Wealth, Inc., Collins Financial Planning, Inc., Integrated Resources Equity Corporation, 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. Our team has recovered approximately $25 million dollars on behalf of investors who lost money due to bad advice by their broker or brokerage firm. We’d love to help you out too.

Did You Lose Money Because of Thomas Povinelli?

Filed: October 26, 2023

Thomas Povinelli has been the subject of one (1) regulatory event and three (3) customer complaints. 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 Thomas Povinelli.

Who Is Thomas Povinelli of Osaic Wealth, Inc.?

• Advisor Name: Thomas Povinelli
• Aliases: Thomas Povinelli
• CRD: 1326492
• Location: Old Greenwich, Connecticut
• Current Employer: Osaic Wealth, Inc.
• Previous Firms: Royal Alliance Associates, Inc., Prime Capital Services, Inc., and North Ridge Securities Corp.
• Number of Known Customer Complaints: 3
• Number of Known Regulatory Events: 1
• Can Thomas Povinelli Be Sued: Yes, in Private Arbitration
• Can Thomas Povinelli’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $3,450,000
• Highest Settlement: $50,000

If you have suffered investment losses by Thomas Povinelli, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud 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 Thomas Povinelli For Broker Misconduct

As of this publication date, Thomas Povinelli has been the subject of 1 regulatory event and 3 customer disputes. Let’s review them below.

In March 2022, a FINRA arbitration was filed against or in reference to Thomas Povinelli by multiple customers of Royal Alliance Associates, Inc. alleging that the recommendation of an alternative investment product was not in keeping with their investment objectives and needs, and that the firm and the representative did not research the investment adequately before making the recommendation to the clients. Per the customers, they lost over $275,000 because of Mr. Povinelli’s actions. On January 13, 2023, Mr. Povinelli settled the claim for $50,000, and some or all of this amount may have been paid by Mr. Povinelli’s employer and/or insurance carrier.

In March 2020, a FINRA arbitration was filed against or in reference to Thomas Povinelli by a customer of Royal Alliance Associates, Inc. alleging that Mr. Povinelli made unsuitable recommendations in high-risk investments. Per the customer, he/she lost over $50,000 because of Mr. Povinelli’s actions. On December 29, 2020, Mr. Povinelli settled the claim for $35,000, and some or all of this amount may have been paid by Mr. Povinelli’s employer and/or insurance carrier.

In March 2020, a complaint was filed against or in reference to Thomas Povinelli by a customer of Royal Alliance Associates, Inc. alleging that Mr. Povinelli made unsuitable investment recommendations and the client also added that the annuity contracts were issued in the wrong state. Per the customer, he/she lost over $3,450,000 because of Mr. Povinelli’s actions.

In May 2011, FINRA initiated a regulatory action against or in reference to Thomas Povinelli for selling variable annuities to a husband and wife. The applications were signed by the customers in New York however, Povinelli indicated on the applications that they had been signed in Florida. Povinelli also inserted dates of signing on the documents that were inaccurate. Povinelli then submitted the applications to the insurance company issuing the annuities. Because Povinelli indicated on the two applications that the customers had signed the forms in Florida, the customers did not receive the benefit of New York Regulation 60, which would have provided them with a right of rescission of the replacement annuity and reinstatement of the surrendered annuity within 60 days.

How To File A Claim Against Thomas Povinelli of Osaic Wealth, Inc. (previously with Royal Alliance Associates, Inc., Prime Capital Services, Inc., and North Ridge Securities Corp.) To Get Your Money Back.

If you have questions about Thomas Povinelli, Osaic Wealth, Inc., Royal Alliance Associates, Inc., Prime Capital Services, Inc., North Ridge Securities Corp., 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. Our team has recovered approximately $25 million dollars on behalf of investors who lost money due to bad advice by their broker or brokerage firm. We’d love to help you out too.

Did You Lose Money Because of Scott Brown?

Filed: October 26, 2023

Scott Brown has been the subject of two (2) customer complaints. 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 Scott Steven Brown.

Who Is Scott Steven Brown of Osaic Wealth, Inc.?

• Advisor Name: Scott Steven Brown
• Aliases: Scott Brown
• CRD: 4322420
• Location: Bakersfield, California
• Current Employer: Osaic Wealth, Inc.
• Previous Firms: 1st Global Advisors, Inc. and 1st Global Capital Corp.
• Number of Known Customer Complaints: 2
• Can Scott Brown Be Sued: Yes, in Private Arbitration
• Can Scott Brown’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $1,413,151
• Highest Settlement: Unknown

If you have suffered investment losses by Scott Brown, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud 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 Scott Brown For Broker Misconduct

As of this publication date, Scott Brown has been the subject of 2 customer disputes. Let’s review them below.

In April 2020, a complaint was filed against or in reference to Scott Brown by a customer of 1st Global Capital Corp. alleging that Mr. Brown 1) blocked the client’s account access and ability to execute transactions and 2) transferred money into the representative;s personal account without the client’s knowledge or consent during 2015 and 2016. Per the customer, she lost over $1,413,151 because of Mr. Brown’s actions.

In March 2020, a complaint was filed against or in reference to Scott Brown by a customer of Royal Alliance Associates, Inc. alleging that Mr. Brown “forged” signature on three transfer documents. Per the customer, she lost over $5,000 because of Mr. Brown’s actions.

How To File A Claim Against Scott Brown Osaic Wealth, Inc. (previously with 1st Global Advisors, Inc. and 1st Global Capital Corp.) To Get Your Money Back.

If you have questions about Scott Brown, Osaic Wealth, Inc., 1st Global Advisors, Inc., 1st Global Capital Corp., 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. Our team has recovered approximately $25 million dollars on behalf of investors who lost money due to bad advice by their broker or brokerage firm. We’d love to help you out too.

Did You Lose Money Because of Salvatore Aprile?

Filed: October 26, 2023

Salvatore Aprile has been the subject of one (1) customer complaint. 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 Salvatore Stephen Aprile.

Who Is Salvatore Stephen Aprile of Osaic Wealth, Inc.?

• Advisor Name: Salvatore Stephen Aprile
• Aliases: Salvatore S Aprile
• CRD: 2197270
• Location: Commack, New York
• Current Employer: Osaic Wealth, Inc.
• Previous Firms: Signator Investors, Inc., Metlife Securities Inc., and Metropolitan Life Insurance Company
• Number of Known Customer Complaints: 1
• Can Salvatore Aprile Be Sued: Yes, in Private Arbitration
• Can Salvatore Aprile’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $5,000
• Highest Settlement: Unknown

If you have suffered investment losses by Salvatore Aprile, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud 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 Salvatore Aprile For Broker Misconduct

As of this publication date, Salvatore Aprile has been the subject of 1 customer dispute. Let’s review it below.

In October 2019, a complaint was filed against or in reference to Salvatore Aprile by a customer of Signator Investors, Inc. alleging that Mr. Aprile sold an unsuitable variable universal life policy in 2007. Per the customer, he/she lost over $5,000 because of Mr. Aprile’s actions.

How To File A Claim Against Salvatore Aprile of Osaic Wealth, Inc. (previously with Signator Investors, Inc., Metlife Securities Inc., and Metropolitan Life Insurance Company) To Get Your Money Back.

If you have questions about Salvatore Aprile, Osaic Wealth, Inc., Signator Investors, Inc., Metlife Securities Inc., Metropolitan Life Insurance Company, 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. Our team has recovered approximately $25 million dollars on behalf of investors who lost money due to bad advice by their broker or brokerage firm. We’d love to help you out too.

Did You Lose Money Because of Ryan Fleming?

Filed: October 26, 2023

Ryan Fleming has been the subject of three (3) customer complaints. 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 Ryan Thomas Fleming.

Who Is Ryan Thomas Fleming of Osaic Wealth, Inc.?

• Advisor Name: Ryan Thomas Fleming
• Aliases: Ryan Fleming
• CRD: 4378425
• Location: Bellevue, California
• Current Employer: Osaic Wealth, Inc.
• Previous Firms: Hornor, Townsend & Kent, LLC and Advisory Resource Group, LLC
• Number of Known Customer Complaints: 3
• Can Ryan Fleming Be Sued: Yes, in Private Arbitration
• Can Ryan Fleming’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $240,000
• Highest Settlement: $85,000

If you have suffered investment losses by Ryan Fleming, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud 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 Ryan Fleming For Broker Misconduct

As of this publication date, Ryan Fleming has been the subject of 3 customer disputes. Let’s review them below.

In June 2022, a complaint was filed against or in reference to Ryan Fleming by a customer of Hornor, Townsend & Kent, LLC alleging that a non-traded business development company purchased in 2014 was misrepresented and unsuitable. Per the customer, he/she lost over $5,000 because of Mr. Fleming’s actions.

In April 2021, a FINRA arbitration was filed against or in reference to Ryan Fleming by a customer of Hornor, Townsend & Kent, LLC alleging that Mr. Fleming recommended certain unsuitable REIT investments which resulted in losses. Per the customer, he/she lost over $240,000 because of Mr. Fleming’s actions. On September 13, 2021, Mr. Fleming settled the claim for $85,000, and some or all of this amount may have been paid by Mr. Fleming’s employer and/or insurance carrier.

In March 2021, a FINRA arbitration was filed against or in reference to Ryan Fleming by a customer of Hornor, Townsend & Kent, LLC alleging that Mr. Fleming recommended unsuitable investments for client’s IRA portfolios. The client further alleges breach of fiduciary duty and negligence, and requests rescission, compensatory damages, lost opportunity costs, unspecified punitive damages, interest, costs and attorneys’ fees. Per the customer, he/she lost over $100,000 because of Mr. Fleming’s actions. On July 8, 2022, Mr. Fleming settled the claim for $50,000, and some or all of this amount may have been paid by Mr. Fleming’s employer and/or insurance carrier.

How To File A Claim Against Ryan Fleming of Osaic Wealth, Inc. (previously with Hornor, Townsend & Kent, LLC and Advisory Resource Group, LLC) To Get Your Money Back.

If you have questions about Ryan Fleming, Osaic Wealth, Inc., Hornor, Townsend & Kent, LLC, Advisory Resource Group, 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. Our team has recovered approximately $25 million dollars on behalf of investors who lost money due to bad advice by their broker or brokerage firm. We’d love to help you out too.

Did You Lose Money Because of Lois Davies?

Filed: October 26, 2023

Lois Davies has been the subject of one (1) customer complaint. 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 Lois Anne Davies.

Who Is Lois Anne Davies of Osaic Wealth, Inc.?

• Advisor Name: Lois Anne Davies
• Aliases: Lois Davies
• CRD: 1738537
• Location: Broadview Heights, Ohio
• Current Employer: Osaic Wealth, Inc.
• Previous Firms: Signator Investors, Inc., John Hancock Mutual Life Insurance Company, and The Variable Annuity Marketing Company
• Number of Known Customer Complaints: 1
• Can Lois Anne Davies Be Sued: Yes, in Private Arbitration
• Can Lois Anne Davies’s Employers Be Sued For Failing to Supervise Her Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $5,000
• Highest Settlement: Unknown

If you have suffered investment losses by Lois Davies, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a failure to supervise 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 Lois Davies For Broker Misconduct

As of this publication date, Lois Davies has been the subject of 1 customer dispute. Let’s review it below.

In August 2019, a complaint was filed against or in reference to Lois Davies by a customer of Signator Investors, Inc. alleging that the variable annuities purchased in 2018 were misrepresented. Per the customer, he/she lost over $5,000 because of Ms. Davies’s actions.

How To File A Claim Against Lois Davies of Osaic Wealth, Inc. (previously with Signator Investors, Inc., John Hancock Mutual Life Insurance Company, and The Variable Annuity Marketing Company) To Get Your Money Back.

If you have questions about Lois Davies, Osaic Wealth, Inc., Signator Investors, Inc., John Hancock Mutual Life Insurance Company, The Variable Annuity Marketing Company, 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. Our team has recovered approximately $25 million dollars on behalf of investors who lost money due to bad advice by their broker or brokerage firm. We’d love to help you out too.

Did You Lose Money Because of Lisa Waterman?

Filed: October 26, 2023

Lisa Krider (also known as Lisa Lynn Waterman) has been the subject of one (1) customer complaint. 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 Lisa Lynn Waterman.

Who Is Lisa Lynn Waterman of Osaic Wealth, Inc.?

• Advisor Name: Lisa Lynn Waterman
• Aliases: Lisa Lynn Krider, Lisa Krider
• CRD: 2598865
• Location: Fort Wayne, Indiana
• Current Employer: Osaic Wealth, Inc.
• Previous Firms: Signator Investors, Inc. and Transamerica Financial Advisors, Inc.
• Number of Known Customer Complaints: 1
• Can Lisa Waterman Be Sued: Yes, in Private Arbitration
• Can Lisa Waterman’s Employers Be Sued For Failing to Supervise Her Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $500,000
• Highest Settlement: $95,000

If you have suffered investment losses by Lisa Waterman, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stockbroker fraud 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 Lisa Waterman For Broker Misconduct

As of this publication date, Lisa Waterman has been the subject of 1 customer dispute. Let’s review it below.

In September 2020, a FINRA arbitration was filed against or in reference to Lisa Waterman by a customer of Royal Alliance Associates, Inc. alleging that the trust account was over concentrated in alternative investments. Per the customer, he/she lost over $500,000 because of Ms. Waterman’s actions. On December 1, 2022, Ms. Waterman settled the claim for $95,000, and some or all of this amount may have been paid by Ms. Waterman’s employer and/or insurance carrier.

How To File A Claim Against Lisa Waterman of Osaic Wealth, Inc. (previously with Signator Investors, Inc. and Transamerica Financial Advisors, Inc.) To Get Your Money Back.

If you have questions about Lisa Waterman, Osaic Wealth, Inc., Signator Investors, Inc., Transamerica Financial Advisors, Inc., 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.

Did You Lose Money Because of Les Leroy Barber Jr.?

Filed: October 26, 2023

Les Leroy Jr. Barber has been the subject of one (1) termination event and four (4) customer complaints. 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 Les Leroy Barber Jr.

Who Is Les Leroy Barber Jr of Osaic Wealth, Inc.?

• Advisor Name: Les Leroy Barber Jr
• Aliases: Les Leroy Jr Barber
• CRD: 1256348
• Location: South Jordan, Utah
• Current Employer: Osaic Wealth, Inc.
• Previous Firms: Lincoln Financial Advisors Corporation and The Lincoln National Life Insurance Company
• Number of Known Customer Complaints: 4
• Number of Known Termination Events: 1
• Can Les Leroy Barber Jr Be Sued: Yes, in Private Arbitration
• Can Les Leroy Barber Jr’s Employers Be Sued For Failing to Supervise His Actions: Yes, in Private Arbitration
• Highest Damages Allegation: $1,000,000
• Highest Settlement: $172,500

If you have suffered investment losses by Les Leroy Barber Jr., we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining an investment fraud 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 Les Leroy Barber Jr. For Broker Misconduct

As of this publication date, Les Leroy Barber Jr. has been the subject of 1 termination event and 4 customer disputes. Let’s review them below.

In June 2021, a FINRA arbitration was filed against or in reference to Les Leroy Barber Jr. by a customer of Royal Alliance Associates, Inc. alleging that Mr. Barber Jr recommended an unsuitable investment. Per the customer, he/she lost over $1,000,000 because of Mr. Barber Jr’s actions. On September 20, 2022, Mr. Barber Jr settled the claim for $150,000, and some or all of this amount may have been paid by Mr. Barber Jr’s employer and/or insurance carrier.

In December 2020, a FINRA arbitration was filed against or in reference to Les Leroy Barber Jr by a customer of Royal Alliance Associates, Inc. alleging that Mr. Barber Jr recommended unsuitable private placements. Per the customer, he/she lost over $237,000 because of Mr. Barber Jr’s actions.

In July 2020, a complaint was filed against or in reference to Les Leroy Barber Jr by a customer of Royal Alliance Associates, Inc. alleging that Mr. Barber Jr sold unsuitable and illiquid REIT and Private Investments. Per the customer, she lost over $5,000 because of Mr. Barber Jr’s actions.

In November 2015, a FINRA arbitration was filed against or in reference to Les Leroy Barber Jr by a customer of Lincoln Financial Advisors alleging that the investments Mr. Barber Jr sold to the client beginning in June 2008 through October 2009 were to be safe, fixed income investments for his retirement in accordance with his needs and financial objectives but instead all of his retirement savings were put into highly risky and illiquid investments. Per the customer, he lost over $325,000 because of Mr. Barber Jr’s actions. On September 2, 2016, Mr. Barber Jr settled the claim for $172,500, and some or all of this amount may have been paid by Mr. Barber Jr’s employer and/or insurance carrier.

In February 2013, Lincoln Financial Advisors terminated Les Leroy Barber Jr for violations of firm policy regarding communications with the public including a violation of firm policy related to client communications involving the solicitation of private placements.

How To File A Claim Against Les Leroy Barber Jr. of Osaic Wealth, Inc. (previously with Lincoln Financial Advisors Corporation and The Lincoln National Life Insurance Company) To Get Your Money Back.

If you have questions about Les Leroy Barber Jr, Osaic Wealth, Inc., Lincoln Financial Advisors Corporation, The Lincoln National Life Insurance Company, 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. Our team has recovered approximately $25 million dollars on behalf of investors who lost money due to bad advice by their broker or brokerage firm. We’d love to help you out too.