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Scott Sernett Of Northwestern Mutual Investment Services, LLC Has A Customer Complaint For Alleged Broker Misconduct

Who is Scott Sernett of Northwestern Mutual Investment Services, LLC?

Scott Sernett

Scott Sernett (CRD #2915860) who is currently registered as a broker with Northwestern Mutual Investment Services, LLC and located in Cedar Falls, Iowa, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Northwestern Mutual Investment Services, LLC, Scott Sernett was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Scott Sernett Customer Complaint

Scott Sernett 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 for failure to fully explain a fixed income annuity. Customer was not informed that she could not take withdrawals and that the annuity could not be surrendered. Northwestern Mutual Investment Services denied the customer complaint and, to date, the investor has not taken any further action.

Scott Sernett Red Flags & Your Rights As An Investor

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

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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 Northwestern Mutual Investment Services, LLC Due To Scott Sernett

If you have questions about Northwestern Mutual Investment Services, LLC and/or Scott Sernett 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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