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DID STEVEN NELSON BRODIE CAUSE YOU INVESTMENT LOSSES?

Steven Brodie Formerly With Equitable Advisors And Charles Schwab & Co. Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Steven Brodie formerly with Equitable Advisors?

Steven Brodie (CRD #1492095) who was formerly registered with Equitable Advisors and located in Indianapolis, Indiana is a subject of one of our many securities industry sales practice abuse investigations. Prior to Equitable Advisors, Steven Brodie was associated with Charles Schwab & Co. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Steven Brodie Customer Complaints

Steven Brodie has been the subject of 2 customer complaints that we know about. One of Steven Brodie’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Charles Schwab & Co. for investment losses caused by Steven Brodie’s alleged misconduct.

Allegations Against Steven Brodie

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

  • Customer alleged instructions to exercise TerraForm Power, Inc. options were not followed by Steven Brodie.
  • Customers alleged that Schwab and its representative Steven Brodie recommended an unsuitable option trading strategy to them, resulting in investment losses in their account(s).

Steven Brodie Red Flags & Your Rights As An Investor

Of course, Steven Brodie 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 Steven Brodie at Equitable Advisors and Charles Schwab & Co. on alert to review carefully the activity and performance of their accounts and question whether Steven Brodie has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Equitable Advisors and Charles Schwab & Co. 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 Equitable Advisors and Charles Schwab & Co. Due To Steven Brodie

If you have questions about Equitable Advisors, Charles Schwab & Co., and/or Steven Brodie 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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