| Read Time: 2 minutes | First Allied Securities Complaints |


Stephen Oliver Of First Allied Securities And Formerly With First Allied Advisory Services Has A Customer Complaint For Alleged Broker Misconduct

Who is Stephen Oliver of First Allied Securities?

Stephen Oliver (CRD #2173688) who is currently registered with First Allied Securities and located in New York, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to First Allied Securities, Stephen Oliver was associated with First Allied Advisory Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Stephen Oliver Customer Complaint

Stephen Oliver has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were that her financial advisers recommended investments that were not suitable for her. Claimant generally alleged breach of fiduciary duty, suitability, negligence, and failure to supervise. The customer complaint filed against Stephen Oliver’s current employer First Allied Securities for investment losses caused by the alleged misconduct is pending as of the date of this report.

Stephen Oliver Red Flags & Your Rights As An Investor

Of course, Stephen Oliver 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 Stephen Oliver at First Allied Securities and First Allied Advisory Services on alert to review carefully the activity and performance of their accounts and question whether Stephen Oliver has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at First Allied Securities and First Allied Advisory Services 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 First Allied Securities Due To Stephen Oliver

If you have questions about First Allied Securities, First Allied Advisory Services, and/or Stephen Oliver 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.

Author Photo

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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars