DID RICHARD HERBERT WESTERMAN CAUSE YOU INVESTMENT LOSSES?

Richard Westerman Formerly With Northwest Investment Advisors, Inc. Has 9 Customer Complaints For Alleged Broker Misconduct

Who is Richard Westerman formerly with Northwest Investment Advisors, Inc.?

Richard Westerman (CRD #826562) who was formerly registered with Northwest Investment Advisors, Inc. and located in Spokane, Washington, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Northwest Investment Advisors, Inc., Richard Westerman was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Richard Westerman has had his own regulatory problems.. He was previously fined by FINRA and ordered to pay restitution to a customer by the Commissioner of Securities of the State of Montana.

Investment Losses? Let’s talk.

or, give us a ring at (800) 732-2889.

Richard Westerman Customer Complaints

Richard Westerman has been the subject of 9 customer complaints that we know about to recover investment losses. One customer complaint proceeded arbitration and the customer received an arbitration award. Seven for the customer complaint to settle in favor of the investors. The last customer complaint was denied by Raymond James and the customer took no further action.

Allegations Against Richard Westerman

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

• Churning and unauthorized trading.
• Failure to adequately explain callable features of a unit trust.
• Unsuitable investment recommendations.
• Mismanagement.
• Exercise of discretion without written authorization

Richard Westerman Red Flags & Your Rights As An Investor

Of course, Richard Westerman 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 Richard Westerman at Northwest Investment Advisors, Inc. on alert to review carefully the activity and performance of their accounts and question whether Richard Westerman has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Northwest Investment Advisors, Inc. 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.

Did You Lose Money Because of Broker Misconduct?

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 Northwest Investment Advisors, Inc. Due To Richard Westerman

If you have questions about Northwest Investment Advisors, Inc. and/or Richard Westerman 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.

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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