| Read Time: 2 minutes | Silver Oak Securities Complaints |


William Riley Formerly With Silver Oak Securities Has 6 Customer Complaints For Alleged Broker Misconduct

Who is William Riley formerly with Silver Oak Securities?

William Riley (CRD #1493287) who was formerly registered with Silver Oak Securities and located in Fort Worth, Texas is a subject of one of our many securities industry sales practice abuse investigations.

William Riley Customer Complaints

William Riley has been the subject of 6 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Four of William Riley’s 6 customer complaints were settled in favor of investors. One of William Riley’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Riley Wealth Advisors for investment losses caused by William Riley’s alleged misconduct.

Allegations Against William Riley

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

  • William Riley’s alleged failure to follow instructions.
  • William Riley’s unauthorized trading, unsuitable investments, & violation of Oklahoma securities laws.
  • William Riley’s alleged suitability, breach of fiduciary, failure to supervise.
  • Unsuitable investment recommendations allegedly made by William Riley.
  • William Riley’s alleged unsuitable investments, demanding payment for the loss and attorney’s fees.

William Riley Red Flags & Your Rights As An Investor

Of course, William Riley 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 Riley at Silver Oak Securities on alert to review carefully the activity and performance of their accounts and question whether William Riley has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Silver Oak Securities 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 Silver Oak Securities Due To William Riley

If you have questions about Silver Oak Securities and/or William Riley 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.

Author Photo

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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars