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Chad Edward Allen with Oppenheimer & Co. Inc. Has A Customer Complaint For Alleged Broker Misconduct In the Past 2 Years

Who is Chad E. Allen with Oppenheimer & Co. Inc.?

Chad Allen (CRD #2712784) who is currently registered with Oppenheimer & Co. Inc. and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Oppenheimer & Co. Inc., Chad Allen was associated with UBS Financial Services, Inc. and 7 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Oppenheimer & Co. Inc. Broker Misconduct

In his career, Chad Allen has been the subject of 2 customer complaints that we know about, one of those complaints were filed in the last 2 years to recover investment losses. There is currently one pending customer complaint filed against Chad Allen’s current employer Oppenheimer & Co. Inc. for investment losses caused by his alleged misconduct.

Allegations Against Chad Allen

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

  • Claimant alleged Chad Allen made fraudulent misrepresentations, and engaged in excessive trading, unauthorized trading, and gave unsuitable investment recommendations related to option trading.
  • Customers alleged that Chad Allen engaged in trading activity without their approval.

Chad Allen Red Flags & Your Rights As An Investor

Of course, Chad Allen 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 Chad Allen at Oppenheimer & Co. Inc. and UBS Financial Services, Inc. on alert to review carefully the activity and performance of their accounts and question whether Chad Allen has engaged in any stockbroker misconduct that may have caused them investment losses. There have been a large number of customer complaints at Oppenheimer & Co. Inc. which also raises questions about 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 Oppenheimer & Co. Inc.

If you have questions about Oppenheimer & Co. Inc., UBS Financial Services, Inc. and/or Chad Allen 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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