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Stuart Haw of Cetera Advisors And Formerly With Investors Capital Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Stuart Haw of Cetera Advisors?

Stuart Haw (CRD #2905167) who is currently registered with Cetera Advisors and located in Bradenton, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Cetera Advisors, Stuart Haw was associated with Investors Capital and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Stuart Haw Customer Complaints

Stuart Haw has been the subject of 3 customer complaints that we know about, two of those complaints were filed in the last year to recover investment losses. One of Stuart Haw’s customers’ complaints was denied and, to date, the customer has not taken any further action. There are currently two pending customer complaints filed against Cetera Advisors and Investors Capital for investment losses caused by Stuart Haw’s alleged misconduct.

Allegations Against Stuart Haw

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

  • Client alleged breach of fiduciary duty, unsuitable investments, material misrepresentations and omissions, violations of FINRA rules by Stuart Haw.
  • Stuart Haw’s alleged professional negligence for failure to process a change of beneficiary in a timely manner.
  • Customer alleged unsuitable investment recommendations by Stuart Haw.

Stuart Haw Red Flags & Your Rights As An Investor

Of course, Stuart Haw 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 Stuart Haw at Cetera Advisors and Investors Capital on alert to review carefully the activity and performance of their accounts and question whether Stuart Haw has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Cetera Advisors and Investors Capital 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 Cetera Advisors Due To Stuart Haw

If you have questions about Cetera Advisors, Investors Capital, and/or Stuart Haw 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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