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Ryan Alvarez of Lion Street Financial, Lion Street Advisors, And Formerly With Wayne Hummer Investments Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Ryan Alvarez of Lion Street Financial?

Ryan Alvarez (CRD #4266877) who is currently registered with Lion Street Financial, Lion Street Advisors,and located in Naperville, Illinois is a subject of one of our many securities industry sales practice abuse investigations. Prior to Lion Street Financial, Lion Street Advisors, Ryan Alvarez was associated with Wayne Hummer Investments and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Ryan Alvarez Customer Complaints

Ryan Alvarez has been the subject of 3 customer complaints that we know about. Three of Ryan Alvarez’s customers’ complaints were denied and, to date, the customers have not taken any further action.

Allegations Against Ryan Alvarez

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

  • Client alleged Ryan Alvarez improperly completed the variable annuity application resulting in the lifetime income benefit rider being based on client life only and not with the Spousal Continuation Benefit as the client desired.
  • Client purchased Jackson National Life variable annuity and alleged that he did not have any knowledge regarding the Jackson variable annuity transaction made by Ryan Alvarez and it was unsuitable.
  • Clients claim mutual fund allegedly made by Ryan Alvarez not suitable.

Ryan Alvarez Red Flags & Your Rights As An Investor

Of course, Ryan Alvarez 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 Ryan Alvarez at Lion Street Financial, Lion Street Advisors, and Wayne Hummer Investments on alert to review carefully the activity and performance of their accounts and question whether Ryan Alvarez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lion Street Financial, Lion Street Advisors, and Wayne Hummer Investments 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 Lion Street Financial Due To Ryan Alvarez

If you have questions about Lion Street Financial, Lion Street Advisors, Wayne Hummer Investments, and/or Ryan Alvarez 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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