DID HAROLD BERTRAM GROSS, JR. CAUSE YOU INVESTMENT LOSSES?
Harold Gross, Jr. Of Janney Montgomery Scott LLC Has 5 Customer Complaints For Alleged Broker Misconduct
Who is Harold Gross, Jr. of Janney Montgomery Scott LLC?
Harold Gross, Jr. (CRD #817550) who is currently registered with Janney Montgomery Scott LLC and located in Purchase, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Janney Montgomery Scott LLC, Harold Gross, Jr. was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Harold Gross, Jr. Customer Complaints
Harold Gross, Jr. has been the subject of 5 customer complaints that we know about to recover investment losses. Two customer complaints resulted in arbitration awards in favor of the investors. Two more customer complaints were settled by Janney Montgomery Scott in favor of the investors. The last customer complaint was denied, and today, the customer has not taken any further action.
Allegations Against Harold Gross, Jr.
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Churning, unsuitable investments, violations of the Securities Exchange Act of 1934 and the Pennsylvania Securities Act resulting in an arbitration award of $112,500 to the customer.
- Misrepresentation of warrant investment.
- Excessive trading.
- Inappropriate investments in Energy Trust Equities.
- Suitability issue.
Harold Gross, Jr. Red Flags & Your Rights As An Investor
Of course, Harold Gross, Jr. 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 Harold Gross, Jr. at Janney Montgomery Scott LLC on alert to review carefully the activity and performance of their accounts and question whether Harold Gross, Jr. has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Janney Montgomery Scott LLC 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 Janney Montgomery Scott LLC Due To Harold Gross, Jr.
If you have questions about Janney Montgomery Scott LLC and/or Harold Gross, Jr. 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.