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Stephen Whittaker Formerly With First Financial Equity Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Stephen Whittaker formerly with First Financial Equity?

Stephen Whittaker (CRD #831764) who was formerly registered with First Financial Equity and located in Surprise, Arizona is a subject of one of our many securities industry sales practice abuse investigations.

Stephen Whittaker has also been the subject of a FINRA investigation which was settled by consent with a 3 month suspension and $5,000 fine for allegedly engaging in outside business activities without the firm’s approval.

Stephen Whittaker Customer Complaints

Stephen Whittaker has been the subject of 2 customer complaints that we know about. One of Stephen Whittaker’s 2 customer complaints was settled in favor of investors.  One of Stephen Whittaker’s customers’ complaints was denied and, to date, the customers have not taken any further action.

Allegations Against Stephen Whittaker

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

  • Stephen Whittaker’s unauthorized trades and suitability.
  • Customer alleged she was not told of potential tax liability by Stephen Whittaker when liquidating an annuity and not redepositing within 60 days.

Stephen Whittaker Red Flags & Your Rights As An Investor

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

If you have questions about First Financial Equity and/or Stephen Whittaker 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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