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Herbert Weith IV Formerly With Equitable Advisors, LLC and Wells Fargo Clearing Services, LLC Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Herbert Weith, IV formerly with Equitable Advisors, LLC?

Herbert Weith IV (CRD #5453866) who was formerly registered with Equitable Advisors, LLC and located in Columbia, Maryland, is a subject of one of our many securities industry sales practice abuse investigations.  Prior to Equitable Advisors, LLC, Herbert Weith IV was associated with Wells Fargo Clearing Services, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Herbert Weith IV has had his own regulatory problems. He refused to cooperate with FINRA and an investigation and was permanently barred from any further Association with any FINRA member firm.

Herbert Weith IV Customer Complaints

Herbert Weith IV has been the subject of 3 customer complaints that we know about to recover investment losses. All 3 customer complaints were settled by Wells Fargo Clearing Services in favor of the investors.

Allegations Against Herbert Weith IV

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Unsuitable financial plan recommendation involving annuities and mutual funds.
  • Negligence in connection with 401(k) funds to create an income stream through variable annuity.
  • Unsuitable investment recommendations related to liquidation of securities to purchase an annuity.

Herbert Weith IV Red Flags & Your Rights As An Investor

Of course, Herbert Weith 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 Herbert Weith formerly with Equitable Advisors, LLC and Wells Fargo Clearing Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Herbert Weith has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors, LLC and Wells Fargo Clearing Services, 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 Equitable Advisors, LLC Due To Herbert Weith IV

If you have questions about Equitable Advisors, LLC, Wells Fargo Clearing Services, LLC and/or Herbert Weith 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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