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Willard Louis Pugh with National Securities Corporation Has 2 Customer Complaints for Alleged Broker Misconduct in the Past 2 Years

Who is Willard L. Pugh with National Securities Corporation?

Willard Pugh (CRD #1757428) who is currently registered with National Securities Corporation and located in Boca Raton, Florida is a subject of one of our many securities industry sales practice abuse investigations.  

Prior to National Securities Corporation, Willard Pugh was associated with Dawson James Securities, Inc. and 10 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Dawson James Securities, Inc. Broker Misconduct

In his career, Willard Pugh has been the subject of 2 customer complaints that we know about, both of those complaints were filed against his former employer, Dawson James Securities, Inc. in the last year to recover investment losses. Both customer complaints filed against Willard Pugh’s current employer National Securities Corporation for investment losses caused by his alleged misconduct are pending.

Allegations Against Willard Pugh

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

  • Customers alleged that William Pugh been an unsuitable investment recommendation related to a UDF REIT and over-concentrated their accounts in real estate securities.
  • Customers alleged that William Pugh been an unsuitable investment recommendation related to a UDF REIT and over-concentrated their accounts in real estate securities.  Further, customer complains that the financial advisor failed to do adequate due diligence with regard to the products offered and sold to them.

Willard Pugh Red Flags & Your Rights as An Investor

Of course, Willard Pugh 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 Willard Pughat National Securities Corporation and Dawson James Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Willard Pughhas engaged in any stockbroker misconduct that may have caused them investment losses.

The large number of customer complaints about William Pugh at Dawson James Securities, Inc. also raises questions about its 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 National Securities Corporation And Dawson James Securities, Inc.

If you have questions about National Securities Corporation, Dawson James Securities, Inc., and/or Willard Pugh 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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