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Ann Werts of Madison Avenue Securities, LLC And Formerly With Cabot Lodge Securities LLC Has 9 Customer Complaints For Alleged Broker Misconduct

Who is Ann Werts of Madison Avenue Securities, LLC?

Ann Werts

Ann Werts (CRD #5057784) who is currently registered as a broker and investment adviser with Madison Avenue Securities, LLC and located in Lakewood, Colorado, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Madison Avenue Securities, LLC, Ann Werts was associated with Cabot Lodge Securities LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Ann Werts Customer Complaints

Ann Werts has been the subject of 9 customer complaints that we know about recovering investment losses. Cabot Lodge Securities recently settled one of the customer complaints in favor the investors. Another one of the customer complaints was denied by Securities America and the investor took no further action. There are currently 7 customer complaints filed against Cabot Lodge Securities for Ann Werts’ alleged misconduct in FINRA arbitration proceedings that are still pending resolution.

Allegations Against Ann Werts

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Fraud, and failure to disclose material information, breach of fiduciary duties, violation of FINRA rules related to offer and sale of GWG L Bonds.
  • Violation of Regulation “Best Interest” related to offer and sale of private placement investments.

Ann Werts Red Flags & Your Rights As An Investor

Of course, Ann Werts 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 Ann Werts at Madison Avenue Securities, LLC and Cabot Lodge Securities LLC on alert to review carefully the activity and performance of their accounts and question whether Ann Werts has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Madison Avenue Securities, LLC and Cabot Lodge Securities LLC also raises questions about the brokerage firms’ supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Madison Avenue Securities, LLC Due To Ann Werts

If you have questions about Madison Avenue Securities, LLC, Cabot Lodge Securities LLC and/or Ann Werts 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.

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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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