DID WILLIAM JOSEPH CONN CAUSE YOU INVESTMENT LOSSES?

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

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.

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