DID HAROLD ALAN SCHWARTZ CAUSE YOU INVESTMENT LOSSES?
Harold Schwartz Of DMK Advisor Group And Formerly With New Century Financial Group, Royal Alliance Associates, TLG Advisors, and The Leaders Group Has 3 Customer Complaints For Alleged Broker Misconduct
Who is Harold Schwartz of DMK Advisor Group?
Harold Schwartz (CRD #841225) who is currently registered with DMK Advisor Group and located in Jacksonville, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to DMK Advisor Group, Harold Schwartz was associated with New Century Financial Group, Royal Alliance Associates, TLG Advisors, The Leaders Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Harold Schwartz Customer Complaints
Harold Schwartz has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of Harold Schwartz’s 3 customer complaints were settled in favor of investors. One of Harold Schwartz’s customers’ complaints was denied and, to date, the customers have not taken any further action.
Allegations Against Harold Schwartz
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Customer alleged that Harold Schwartz guaranteed the money would double in 10 years, but the income base is what doubled in 10 years.
- Customer alleged Harold Schwartz’s issues of suitability in recommended investment strategy.
Harold Schwartz Red Flags & Your Rights As An Investor
Of course, Harold Schwartz 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 Schwartz at DMK Advisor Group, New Century Financial Group, Royal Alliance Associates, TLG Advisors, and The Leaders Group on alert to review carefully the activity and performance of their accounts and question whether Harold Schwartz has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at DMK Advisor Group, New Century Financial Group, Royal Alliance Associates, TLG Advisors, and The Leaders Group 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 DMK Advisor Group Due To Harold Schwartz
If you have questions about DMK Advisor Group, New Century Financial Group, Royal Alliance Associates, TLG Advisors, The Leaders Group, and/or Harold Schwartz 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.