| Read Time: 2 minutes | Northwestern Mutual Complaints |


Richard Tinker Of Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct

Who is Richard Tinker of Northwestern Mutual Investment Services?

Richard Tinker (CRD #6427064) who is currently registered with Northwestern Mutual Investment Services and located in Addison, Texas is a subject of one of our many securities industry sales practice abuse investigations.

Richard Tinker Customer Complaint

Richard Tinker has been the subject of at least one customer complaint that we know about. The allegations made in the FINRA reported customer complaint for investment losses were complainant alleged that when he rolled over his 401k to a Northwestern Mutual Investment Services (NMIS) IRA Rollover account, he lost the tax advantages of converting to a Roth IRA. In addition, he alleged that the fixed annuity that he bought was not suitable for him, and the guaranteed interest rate was not disclosed. Lastly, he alleged that his confidential, personal information was shared with another individual without his permission. Richard Tinker’s customer complaint was settled in favor of the investors.

Richard Tinker Red Flags & Your Rights As An Investor

Of course, Richard Tinker 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 Richard Tinker at Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Richard Tinker has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment Services 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 Northwestern Mutual Investment Services Due To Richard Tinker

If you have questions about Northwestern Mutual Investment Services and/or Richard Tinker 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.

Author Photo

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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars