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Rodrigue Lors Of Wilmington Capital Securities, LLC And Formally With National Securities Corp. Has 3 Customer Complaints For Alleged Broker Misconduct In the Past Year

Who is Rodrigue Lors with Wilmington Capital Securities, LLC?

Rodrigue Lors (CRD #4379214) who is currently registered with Wilmington Capital Securities, LLC and located in Westbury, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Wilmington Capital Securities, LLC, Rodrigue Lors was associated with National Securities Corporation and another investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Wilmington Capital Securities, LLC And National Securities Corp. Broker Misconduct

In his career, Rodrigue Lors has been the subject of 5 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Three of the customer complaints were denied by his former employer’s in the customers did not pursue any further action. There are currently 2 pending customer complaints filed against Rodrigue Lors’ former employer, National Securities Corp. for investment losses caused by his alleged misconduct.

Allegations Against Rodrigue Lors

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

  • Customer alleged failure to follow instructions and unauthorized transactions.
  • Customer alleged unauthorized trading in stocks.
  • Two Claimants and separate arbitration proceedings have alleged unsuitable investment recommendations to purchase private placements.

Rodrigue Lors Red Flags & Your Rights As An Investor

Of course, Rodrigue Lors 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 Rodrigue Lors at Wilmington Capital Securities, LLC, National Securities Corporation and GunnAllen Financial, Inc. on alert to review carefully the activity and performance of their accounts and question whether Rodrigue Lors has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Wilmington Capital Securities, LLC and National Securities Corporation also raises questions about 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 Wilmington Capital Securities, LLC And National Securities Corporation

If you have questions about Wilmington Capital Securities, LLC, National Securities Corporation, GunnAllen Financial, Inc. and/or Rodrigue Lors 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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