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DID ERIC WAYNE HARDING CAUSE YOU INVESTMENT LOSSES?

Eric Harding Formerly With United Planners’ Financial Services of America A Limited Partner And Wells Fargo Advisors, LLC Has 11 Customer Complaints For Alleged Broker Misconduct

Who is Eric Harding formerly with United Planners’ Financial Services of America A Limited Partner?

Eric Harding (CRD #2207823) who was formerly registered with United Planners’ Financial Services of America A Limited Partner and located in Scottsdale, Arizona is a subject of one of our many securities industry sales practice abuse investigations.  Prior to United Planners’ Financial Services of America A Limited Partner, Eric Harding was associated with Wells Fargo Advisors, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Eric Harding Customer Complaints

Eric Harding has been the subject of 11 customer complaints that we know about, which were filed to recover investment losses. Seven of Eric Harding’s 11 customer complaints were settled in favor of investors. Three of Eric Harding’s customer complaints were denied and, to date, the customers have not taken any further action. There is currently 1 pending customer complaint filed against Eric Harding’s former employer EmpiriKal Partners LLC for investment losses caused by the alleged misconduct.

Allegations Against Eric Harding

  • Misrepresentation of specific stock transactions.
  • Unsuitable recommendations involving the use of margin, turning of customer’s account and unsuitable investment recommendations.
  • Unsuitability and churning.
  • Negligence, breach of contract, breach of fiduciary duty, fraud, and negligent misrepresentation of stock investments.
  • Unsuitable investment recommendations of over-the-counter stocks.
  • Investments in corporate debt and over-the-counter stocks were unsuitable.
  • Unsuitable common and preferred stock investment recommendations.
  • Unauthorized use of margin and overconcentration in stocks.
  • Inappropriate diversification recommendation.
  • Unsuitable investment recommendation and failure to follow client’s instructions to liquidate.
  • Failure to execute a sell order.

Eric Harding Red Flags & Your Rights As An Investor

Of course, Eric Harding 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 Eric Harding at United Planners’ Financial Services of America A Limited Partner and Wells Fargo Advisors, LLC on alert to review carefully the activity and performance of their accounts and question whether Eric Harding has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at United Planners’ Financial Services of America A Limited Partner and Wells Fargo Advisors, LLC 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 United Planners’ Financial Services of America A Limited Partner

If you have questions about United Planners’ Financial Services of America A Limited Partner, Wells Fargo Advisors, LLC, and/or Eric Harding 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.

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