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.
DID DALE EDWARD WALTS CAUSE YOU INVESTMENT LOSSES?
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.