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Shashi Mehrotra Of Lincoln Investment, Capital Analysts And Formerly With Legend Equities And Legend Advisory Has A Customer Complaint For Alleged Broker Misconduct

Who is Shashi Mehrotra of Lincoln Investment?

Shashi Mehrotra (CRD #2640875) who is currently registered with Lincoln Investment, Capital Analystsvand located in Palm Beach Gardens, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Lincoln Investment and Capital Analysts, Shashi Mehrotra was associated with Legend Equities, Legend Advisory and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Shashi Mehrotra Customer Complaint

Shashi Mehrotra 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 client transferred shares to firm in kind with the intent to reallocate transferred shares into a new portfolio. It was discovered that reallocation did not occur. To correct this, the reallocation was completed. This resulted in sells occurring in the client’s account which created a capital gains tax situation for client. Client alleged she was not aware that sells would take place and of the tax consequences that the sells would create. Shashi Mehrotra’s customer complaint was settled in favor of the investors.

Shashi Mehrotra Red Flags & Your Rights As An Investor

Of course, Shashi Mehrotra 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 Shashi Mehrotra at Lincoln Investment, Capital Analysts, Legend Equities, and Legend Advisory on alert to review carefully the activity and performance of their accounts and question whether Shashi Mehrotra has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Lincoln Investment, Capital Analysts, Legend Equities, and Legend Advisory 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 Lincoln Investment Due To Shashi Mehrotra

If you have questions about Lincoln Investment, Capital Analysts, Legend Equities, and Legend Advisory, and/or Shashi Mehrotra 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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