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Keith Patterson Of Avantax Investment Services, Inc. And Formerly With Securities America, Inc. Has 7 Customer Complaints For Alleged Broker Misconduct

Who is Keith Patterson of Avantax Investment Services, Inc.?

Keith Patterson

Keith Patterson (CRD #2131574) who is currently registered with Avantax Investment Services, Inc. and located in Sugar Land, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Avantax Investment Services, Inc., Keith Patterson was associated with Securities America, Inc and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Investment Losses? Let’s talk.

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Keith Patterson Customer Complaints

Keith Patterson has been the subject of 7 customer complaints that we know about to recover investment losses. Four of the customer complaints were settled by Keith Patterson’s former employers in favor of the investors. The remaining 3 customer complaints were denied by his former employers and the customers took no further action.

Allegations Against Keith Patterson

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

  • Unsuitable investment recommendations of variable annuity contracts and other direct investments.
  • Failure to follow customer’s instructions.
  • Unsuitable investment recommendation of variable annuity contract.
  • Misrepresentation, breach of fiduciary duty, violation of Texas Securities Act, common law fraud, and negligence related to option transactions.
  • Unsuitable recommendation of REITs and business development companies.
  • Unsuitable recommendations of alternative investments.
  • Fraud, breach of fiduciary duty and negligence related to recommendations of real estate securities.

Keith Patterson Red Flags & Your Rights As An Investor

Of course, Keith Patterson 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 Keith Patterson at Avantax Investment Services, Inc. and Securities America, Inc on alert to review carefully the activity and performance of their accounts and question whether Keith Patterson has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Avantax Investment Services, Inc. and Securities America, Inc 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.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

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 Avantax Investment Services, Inc. Due To Keith Patterson

If you have questions about Avantax Investment Services, Inc., Securities America, Inc and/or Keith Patterson 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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