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Tracey Schusterman Of Janney Montgomery Scott LLC And Formerly With RBC Capital Markets, LLC Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Tracey Schusterman of Janney Montgomery Scott LLC?

Tracey Schusterman

Tracey Schusterman (CRD #1432242) who is currently registered as a broker and investment adviser with Janney Montgomery Scott LLC and located in New York, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Janney Montgomery Scott LLC, Tracey Schusterman was associated with RBC Capital Markets, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Tracey Schusterman Customer Complaints

Tracey Schusterman has been the subject of 3 customer complaints that we know about to recover investment losses. One of the customer complaints resulted in an arbitration award against her and her former employers. Another customer complaint was settled by UBS Financial Services in favor of the investor. Janney Montgomery Scott denied the other customer complaint and, to date, no further action has been taken by the customer.

Allegations Against Tracey Schusterman

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

  • Recommendation of inappropriate investments and purchase of security positions that were too large for client’s risk tolerance.
  • Misleading statements which cost unintended tax liability.
  • Unsuitable investment recommendations, securities fraud, breach of fiduciary duty, negligence, violation of FINRA rules and securities industry regulations.

Tracey Schusterman Red Flags & Your Rights As An Investor

Of course, Tracey Schusterman 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 Tracey Schusterman at Janney Montgomery Scott LLC and RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Tracey Schusterman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Janney Montgomery Scott LLC and RBC Capital Markets, LLC 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.

Did You Lose Money Because of Broker Misconduct?

best investment fraud lawyers

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At Janney Montgomery Scott LLC Due To Tracey Schusterman

If you have questions about Janney Montgomery Scott LLC, RBC Capital Markets, LLC and/or Tracey Schusterman 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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