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Robert Mann Of National Securities, National Asset Management And Formerly With Maxim Group Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Robert Mann of National Securities?

Robert Mann (CRD #2847134) who is currently registered with National Asset Management, National Asset Management and located in Plainview, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to National Securities and National Asset Management, Robert Mann was associated with Maxim Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Robert Mann Customer Complaints

Robert Mann 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. All 3 of Robert Mann’s customer complaints were settled in favor of investors.

Allegations Against Robert Mann

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

  • Claimant alleged Robert Mann’s unsuitable investment practices from the account’s inception.
  • Client claimed that Robert Mann purchased unsuitable securities in her account, and claimed that Mr. Mann charged excessive commissions.
  • Customer alleged Robert Mann’s unsuitability, misrepresentation, breach of contract, breach of fiduciary duty, unauthorized trading, fraud, unsuitable/inappropriate use of margin and churning or excessive trading activity.

Robert Mann Red Flags & Your Rights As An Investor

Of course, Robert Mann 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 Robert Mann at National Securities, National Asset Management, and Maxim Group on alert to review carefully the activity and performance of their accounts and question whether Robert Mann has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at National Securities, National Asset Management, and Maxim 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 National Securities Due To Robert Mann

If you have questions about National Securities, National Asset Management, Maxim Group, and/or Robert Mann 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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