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Carlos Abad Formerly With TFS Securities, Inc. Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Carlos Abad formerly with TFS Securities, Inc.?

Carlos Abad (CRD #1650972) who was formerly registered with TFS Securities, Inc. and located in Lincroft, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.   

Carlos Abad Customer Complaints

Carlos Abad has been the subject of 2 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses. One of Carlos Abad’s 2 customer complaints was settled in favor of investor. One of Carlos Abad’s customer complaints was denied and, to date, the customers have not taken any further action.

Allegations Against Carlos Abad

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

  • Unsuitable investment recommendations of speculative and high commission alternative investments causing substantial losses.
  • Failure to disclose commissions and mismanagement of accounts.

Carlos Abad Red Flags & Your Rights As An Investor

Of course, Carlos Abad 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 Carlos Abad at TFS Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Carlos Abad has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TFS Securities, Inc. 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.

File A Claim To Recover Your Investment Losses At TFS Securities, Inc. Due To Carlos Abad

If you have questions about TFS Securities, Inc. and/or Carlos Abad 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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