| Read Time: 2 minutes |

It’s critical for everyone to understand as much as possible about the people with whom they entrust their money. There are several places where you may locate information on a person’s background, including past employment history, regulatory legal consequences, and consumer complaints.

This important information may lead to queries regarding Dale Walts and financial losses you incurred. We’ll do our best to answer any questions you might have.


Dale Walts Of GWN Securities Inc. Has A Customer Complaint For Alleged Broker Misconduct

Who is Dale Walts of GWN Securities Inc.?

Dale Walts (CRD #1042772) who is currently registered with GWN Securities Inc. and located in Albany, New York is a subject of one of our many securities industry sales practice abuse investigations.

Dale Walts Customer Complaint

Dale Walts has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were an erroneous recommendation with regard to repayment of the loan from the clients 403B accounts. Dale Walts’ customer complaint was settled in favor of the investor.

Dale Walts Red Flags & Your Rights As An Investor

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

If you have questions about GWN Securities Inc. and/or Dale Walts 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.

Author Photo

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 $160 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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars