Did You Lose Money Because of Duane Pellman?
Filed: March 12, 2024
Duane Pellman has been the subject of one (1) termination event and 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 Duane Scott Pellman.
Who Is Duane Scott Pellman?
- Advisor Name: Duane Scott Pellman
- Aliases: Duane Pellman
- CRD: 2426979
- Location: Greensboro, North Carolina
- Current Employer: Currently Not Registered
- Previous Firms: Intercarolina Financial Services, Inc., Principal Securities, Inc., and W R Rice Financial Services, Inc.
- Number of Known Customer Complaints: 1
- Number of Known Termination Events: 1
- Can Duane Pellman Be Sued: Yes, in Private Arbitration
- Can Duane Pellman’s Employers Be Sued For Failing to Supervise Actions: Yes, in Private Arbitration
- Highest Damages Allegation: Unknown
- Highest Settlement: Unknown
If you have suffered investment losses by Duane Pellman, we strongly encourage you to exercise your rights to experienced legal representation. Recover what is owed to you by retaining a stock market losses 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 Duane Pellman For Broker Misconduct
As of this publication date, Duane Pellman has been the subject of 1 termination event and 1 customer dispute. Let’s review them below.
In February 2023, Excel Wealth Management, LLC terminated Duane Pellman after suitability based concerns were discovered surrounding the investment management of client assets. After the discovery of the loss of investment, individuals sought to recoup the losses by investing in additional speculative investments, resulting in larger losses.
In September 2016, a complaint was filed against or in reference to Duane Pellman by a customer of Principal Securities, Inc. alleging that Mr. Pellman took money from the client.
How To File A Claim Against Duane Pellman (previously with Intercarolina Financial Services, Inc., Principal Securities, Inc., and W R Rice Financial Services, Inc.) To Get Your Money Back
If you have questions about Duane Pellman, Intercarolina Financial Services, Inc., Principal Securities, Inc., W R Rice Financial Services, 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.
