Advisor Alert: Our Attorneys Are Investigating Dawn Sheri West For Investment Fraud
Did You Lose Money Because of Dawn West?
Filed: November 29, 2023
Dawn West 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 Dawn Sheri West.
Who Is Dawn Sheri West of LPL Financial LLC?
- Advisor Name: Dawn Sheri West
- Aliases: Dawn West
- CRD: 4797506
- Location: Jackson Heights, New York
- Current Employer: LPL Financial LLC
- Previous Firms: Capital One Advisors, LLC and Capital One Financial Advisors, LLC
- Number of Known Customer Complaints: 1
- Can Dawn West Be Sued: Yes, in Private Arbitration
- Can Dawn West’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: Unknown
- Highest Settlement: $105,000
If you have suffered investment losses by Dawn West, 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 Dawn West For Broker Misconduct
As of this publication date, Dawn West has been the subject of 1 customer dispute. Let’s review it below.
In April 2020, a FINRA arbitration was filed against or in reference to Dawn West by a customer of LPL Financial LLC alleging that in September 2018, West recommended an unsuitable investment in a structured note which the West then unilaterally sold in March 2020. On September 24, 2021, Ms. West settled the claim for $105,000, and some or all of this amount may have been paid by Ms. West’s employer and/or insurance carrier.
How To File A Claim Against Dawn West of LPL Financial LLC (previously with Capital One Advisors, LLC and Capital One Financial Advisors, LLC) To Get Your Money Back.
If you have questions about Dawn West, LPL Financial LLC, Capital One Advisors, LLC, Capital One Financial Advisors, 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.