Broker Harold Weber is the Subject of Unsuitablity Allegations

Harold Weber Allegedly Made Unsuitable Investment Recommendations and Continued to Misrepresent Material Facts about Specific Investments

Broker Harold Weber allegedly continued to make unsuitable investment recommendations and purportedly continued to misrepresent material facts about specific investments upon purportedly transferring client accounts from Morgan Stanley to Wells Fargo Advisors in 2013, according to a Pending Customer Dispute filed on Weber’s FINRA BrokerCheck Report under review by investor rights attorney Alan Rosca.

The aforementioned dispute was filed on March 5, 2019, FINRA states, and a Damage Request was not reported.

Investor rights attorney Alan Rosca, of the Rosca Scarlato LLC law firm, is investigating activity related to broker Harold Weber’s alleged acts of unsuitability. Investors who believe they may have lost money in activity related to broker Harold Weber’s alleged acts of unsuitability are encouraged to contact attorney Alan Rosca with any useful information or for a free, no-obligation discussion about their options.

Concerned about investments with

Harold Weber?

Harold Weber Has 5 Disclosures During His 36 Years in the Securities Industry

Harold Weber, inter alia, allegedly engaged in unsuitability with respect to investments from July 2011 to November 2012, FINRA notes, according to allegations from another claimant found on a Pending Customer Dispute.

Said Pending Customer Dispute was filed on April 2, 2018, and has requested damages of $274,412.20, FINRA states.

Broker Harold Weber, in sum, has 5 disclosures throughout his 36 years in the securities industry with 11 different firms, FINRA notes.

Weber has been registered with Aegis Capital Corp. in New York, NY since August 3, 2016, FINRA states, and has been registered with the following firms:

Wells Fargo Advisors, LLC, Airmont, NY— December 17, 2012 through April 15, 2016
Morgan Stanley, Paramus, NJ— June 1, 2009 through January 11, 2013
Citigroup Global Markets Inc., Paramus, NJ— June 9, 1998 through June 1, 2009
Painewebber Inc., Weehawken, NJ— April 25, 1994 through June 24, 1998

Finally, it is important to note that, as of the date of this article, there has not been a finding of liability as to the complaints or allegations mentioned in this article, unless otherwise indicated. Any reader should also read the original sources hyperlinked in this blog for accuracy, including any BrokerCheck report and/or record of any disciplinary or regulatory action. Those sources are incorporated by reference into the text of this blog, and are the governing materials in case of any inconsistencies or typos in this blog.

Concerned about investments with

Harold Weber?

Securities Lawyer Investigating

The Rosca Scarlato LLC law firm represents investors who lose money as a result of unsuitability, investment-related fraud, or misconduct and are currently investigating broker Harold Weber’s alleged acts of unsuitability. The firm takes most cases of this type on a contingency fee basis and advance the case costs, and only gets paid for their fees and costs out of money recovered for clients. Attorney Alan Rosca, a securities lawyer and adjunct professor of securities regulation, and has represented thousands of victimized investors across the country and around the world in cases ranging from arbitrations to class actions.

Investors who believe they lost money as a result of broker Harold Weber’s alleged acts of unsuitability may contact attorney Alan Rosca for a free no-obligation evaluation of their recovery options, at 888-998-0530, via email at arosca@rscounsel.law, or through the contact form on this webpage.

DISCLAIMER

In our legal system, every person is innocent until and unless found guilty by a court of law or a tribunal. Whenever we reference “allegations” or charges that are “alleged,” such allegations or charges have not been proven, and are merely accusations, not findings of fault, as of the date of the blog. We do not have, nor do we undertake, a duty to continue to monitor or follow matters about which we report, and/or to publish subsequent updates regarding various developments that may occur in such matters. Readers are encouraged to conduct their own research regarding any such matters and any developments that may or may not have occurred in such matters. Also, the Brokercheck report linked to some of our blogs is the up-to-date version as of the date of accessing by the reader. The information in our blogs is current as of the date of the drafting of the blog, and given that sometimes certain past complaints may no longer be listed in newer Brokercheck reports, some of the events referenced in some of our blogs may later on be removed from newer Brokercheck reports. Visitors may check the most recent version of each brokercheck report at www.finra.org, and may contact FINRA for the earlier version of the Brokercheck report upon which various blogs may be based.

If you believe you lost money as a result of investment-related fraud or misconduct, please contact our law firm for a free, no-obligation evaluation of your recovery options.

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