INVESTOR WARNING! Stuart Dickinson from Highland Park, Texas
Have you lost money with financial advisor Stuart Dickinson of Highland Park, Texas? We are investigating allegations made by FINRA, the Financial Industry Regulatory Authority, against Stuart G. Dickinson. FINRA barred Dickinson from the securities industry regarding allegations that he made unsuitable investment recommendations to customers to invest in a private placement called ATM Alliance, LP.
FINRA alleged that Stuart Dickinson sold more than $1 million worth of limited partnership interests in ATM Alliance to his customers while he was affiliated with WFG Investments. FINRA alleged that he failed to conduct adequate due diligence, which could have uncovered that ATM Alliance was a Ponzi scheme. FINRA further alleged that Dickinson sought assistance in putting the investment together with Trent Schneiter, a former WFG supervising principal. FINRA barred Dickinson after he failed to respond to an investigation regarding these allegations.
Stuart Dickinson was a financial advisor and registered representative of WFG Investments, Inc. from October 2005 to September 2013. He worked at a branch office in Highland Park, Texas. Dickinson has at least two customer complaints on his BrokerCheck report, including one which alleges misrepresentations related to private placements.
Brokerage firms like WFG Investments have a responsibility to adequately supervise all representatives who are registered through their firm. Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies. When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.
Israels & Neuman PLC is a securities and investment fraud law firm with offices in Denver, Colorado, the Seattle, Washington area, Ann Arbor, Michigan, Chicago, Illinois, and Vancouver, Washington. We represent investors in FINRA arbitration proceedings in all 50 states, including investors in Texas. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including WFG Investments. All of our arbitration cases are taken on a contingent fee basis, meaning you do not pay unless we recover money for you.
Click to view: Dickinson, Stuart FINRA Order
Click to view: Dickinson, Stuart BrokerCheck 10.24.16
HAVE YOU LOST MONEY WITH STUART DICKINSON OR WFG INVESTMENTS?
CONTACT ISRAELS & NEUMAN, PLC FOR A FREE CASE EVALUATION
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Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.