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William Conn Of International Assets Advisory, LLC And Formerly With Raymond James & Associates, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct

Who is William Conn of International Assets Advisory, LLC?

William Conn

William Conn (CRD #1477107) who is currently registered as a broker and investment adviser with International Assets Advisory, LLC and located in San Francisco, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to International Assets Advisory, LLC, William Conn was associated with Raymond James & Associates, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. William Conn was recently terminated by Raymond James and Associates for failing to follow firm policies with respect to the exercise of discretion, payments to a client, and potential unreported outside business activities.

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William Conn Customer Complaints

William Conn has been the subject of 4 customer complaints that we know about to recover investment losses. Three of the customer complaints were settled in favor of the investors. The other complaint was denied by the advisor’s former employer and no further action was taken.

Allegations Against William Conn

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

  • Unsuitable investment strategy which included concentrating her accounts and equities in writing covered call options.
  • Failure to disclose the risk of an option strategy.
  • Excessive commissions, and unauthorized trading.
  • Unsuitable and unauthorized transactions in client’s accounts.
  • Breach of fiduciary duty, negligence, fraud, unauthorized trading, and breach of contract.

William Conn Red Flags & Your Rights As An Investor

Of course, William Conn 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 William Conn at International Assets Advisory, LLC and Raymond James & Associates, Inc. on alert to review carefully the activity and performance of their accounts and question whether William Conn has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at International Assets Advisory, LLC and Raymond James & Associates, Inc. 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?

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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 International Assets Advisory, LLC Due To William Conn

If you have questions about International Assets Advisory, LLC, Raymond James & Associates, Inc. and/or William Conn 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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