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Thomas Clasby Of Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct

Who is Thomas Clasby of Northwestern Mutual Investment Services?

Thomas Clasby (CRD #5473337) who is currently registered with Northwestern Mutual Investment Services and located in Lake Elmo, Minnesota is a subject of one of our many securities industry sales practice abuse investigations.

Thomas Clasby Customer Complaint

Thomas Clasby 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 that the customers were not told they would not be able to take withdrawals or surrender the fixed income annuity contract they purchased which was funded from the proceeds of an IRA. The customer requested a refund of the funds deposited to the fixed income annuity. Thomas Clasby’s customer complaint was denied and, to date, the customer has not taken any further action.

Thomas Clasby Red Flags & Your Rights As An Investor

Of course, Thomas Clasby 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 Thomas Clasby at Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Thomas Clasby has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwestern Mutual Investment 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 Northwestern Mutual Investment Services Due To Thomas Clasby

If you have questions about Northwestern Mutual Investment Services and/or Thomas Clasby 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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