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Neil Berlant Formerly With D.A. Davidson & Co. Has A Customer Complaint For Alleged Broker Misconduct

Who is Neil Berlant formerly with D.A. Davidson & Co.?

Neil Berlant

Neil Berlant (CRD #19550) who was formerly registered as a broker and investment adviser with D.A. Davidson & Co. and located in Los Angeles, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to D.A. Davidson & Co., Neil Berlant was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Neil Berlant has had his own regulatory problems. In 2022 he was suspended for 5 months and fined $10,000 by FINRA or exercising discretionary trading authority in customer accounts without written authorization.

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Neil Berlant Customer Complaint

Neil Berlant has been the subject of at least one customer complaint that we know about to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were the financial advisor had not discussed in investment with the client or received authorization to purchase any securities. The brokerage firm settled the customer dispute in favor of the investor.

Neil Berlant Red Flags & Your Rights As An Investor

Of course, Neil Berlant 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 Neil Berlant at D.A. Davidson & Co. on alert to review carefully the activity and performance of their accounts and question whether Neil Berlant has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at D.A. Davidson & Co. 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.

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 D.A. Davidson & Co. Due To Neil Berlant

If you have questions about D.A. Davidson & Co. and/or Neil Berlant 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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