DID BRION L. NORBY CAUSE YOU INVESTMENT LOSSES?
Brion Norby of Concorde Investment Services, Concorde Asset Management And Formerly With Lebenthal & Co. And Lebenthal Wealth Advisors Has A Customer Complaint For Alleged Broker Misconduct
Who is Brion Norby of Concorde Investment Services?
Brion Norby (CRD #4577786) who is currently registered with Concorde Investment Services, Concorde Asset Management and located in Williston, North Dakota is a subject of one of our many securities industry sales practice abuse investigations. Prior to Concorde Investment Services and Concorde Asset Management, Brion Norby was associated with Lebenthal & Co., Lebenthal Wealth Advisors and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Brion Norby Customer Complaint
Brion Norby has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were FINRA Arbitration Statement of Claim alleged misrepresentation, breach of fiduciary duty, suitability, negligence and fraud against control persons of the representative’s former broker dealer firm in relation to the sale of Aequitas Capital Management, LLC promissory notes by representative. The customer complaint filed against Brion Norby’s former employer Lebenthal Wealth Advisors for investment losses caused by the alleged misconduct is pending as of the date of this report.
Brion Norby Red Flags & Your Rights As An Investor
Of course, Brion Norby 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 Brion Norby at Concorde Investment Services, Concorde Asset Management, Lebenthal & Co., and Lebenthal Wealth Advisors on alert to review carefully the activity and performance of their accounts and question whether Brion Norby has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Concorde Investment Services, Concorde Asset Management, Lebenthal & Co., and Lebenthal Wealth Advisors also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
File A Claim To Recover Your Investment Losses At Concorde Investment Services Due To Brion Norby
If you have questions about Concorde Investment Services, Concorde Asset Management, Lebenthal & Co., Lebenthal Wealth Advisors, and/or Brion Norby 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.