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Douglas Bauerband Formerly With Gradient Securities, LLC and TFS Securities, Inc. Has A Customer Complaint For Alleged Broker Misconduct

Who is Douglas Bauerband formerly with Gradient Securities, LLC?

Douglas Bauerband

Douglas Bauerband (CRD #2850269) who was formerly registered with Gradient Securities, LLC and located in Toms River, New Jersey, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Gradient Securities, LLC, Douglas Bauerband was associated with TFS Securities, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Douglas Bauerband was recently terminated by Gradient Securities for violation of the firm’s policies and procedures by allegedly engaging in an undisclosed and unapproved outside business activity in violation of FINRA conduct rules.

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Douglas Bauerband Customer Complaint

Douglas Bauerband has been the subject of at least one customer complaint that we know about to seeking to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were an early withdrawal penalty associated with an annuity contract was never discussed or disclosed to the customer. The complaint which was just filed in July is still pending review by his former employer.

Douglas Bauerband Red Flags & Your Rights As An Investor

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

Did You Lose Money Because of Broker Misconduct?

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If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Gradient Securities, LLC Due To Douglas Bauerband

If you have questions about Gradient Securities, LLC, TFS Securities, Inc. and/or Douglas Bauerband 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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