DID STUART L PEARL CAUSE YOU INVESTMENT LOSSES?

Stuart Pearl Formerly With David A. Noyes & Company Has 8 Customer Complaints For Alleged Broker Misconduct

Stuart Pearl Customer Complaints

Stuart Pearl has been the subject of 8 customer complaints that we know about seeking to recover investment losses. Seven of the customer complaints were settled by Stuart Pearl’s former employers in favor of the investors. The other customer complaint was denied by the advisor’s former employers recently and, so far the investors have not taken any further action.

Allegations Against Stuart Pearl

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

• Unauthorized and excessive trading in customer’s account.
• Breach of fiduciary duty, negligence, in violation of industry rules and regulations.
• Unauthorized trading and use of margin borrowing.
• Broker exercised de facto discretionary control over account in violation of FINRA rules.
• Adviser put a large hedge position to customer’s account without customer’s knowledge.
• Representative created a margin trading account without discussing it with customer.
• Unauthorized and unsuitable investments and churning.
• Unsuitable trading of listed equities and unauthorized use of margin.
• Churning.

Stuart Pearl Red Flags & Your Rights As An Investor

Of course, Stuart Pearl 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 Stuart Pearl at David A. Noyes & Company on alert to review carefully the activity and performance of their accounts and question whether Stuart Pearl has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at David A. Noyes & Company 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 David A. Noyes & Company Due To Stuart Pearl

If you have questions about David A. Noyes & Company and/or Stuart Pearl 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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