John Francis Schlagheck, a previously registered broker, is subject to multiple customer dispute disclosures alleging unsuitable investments, breach of fiduciary duty, and negligence, among others, according to his Brokercheck Report.
Rosca Scarlato LLC attorney Alan Rosca and his colleagues are investigating the circumstances surrounding Schlagheck’s alleged misconduct. Investors who are concerned about their investments with John Schlagheck may contact Alan Rosca for a free case evaluation or to provide any helpful information by calling 888-998-0530 toll free, emailing arosca@rscounsel.law, or through the contact form found on our webpage.
Schlagheck is Subject to Several Customer Dispute Disclosures
A customer dispute disclosure was reportedly received in March of 2023 (Case #: 22-01398). The customer alleged breach of contract, negligence, and unsuitable investments, among others, and requested $701,211.32 in alleged damages.
Broker John Schlagheck was allegedly subject to a customer dispute disclosure received in August of 2022 (Case #: 22-01338). The customer alleged breach of contract, negligence, and common law fraud, among others, and requested $565,000.
Another customer dispute disclosure was reportedly received in June of 2022 (Case #: 22-01101). The claimant alleged breach of fiduciary duty, breach of contract, and negligence, among others, relating to the sale of GWG L-Bond investments. $100,000 was requested for alleged damages.
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. Readers should note that sometimes brokers may be able to expunge past customer complaints from their Brokercheck record, such that complaints referenced as of the date of this blog may not necessarily be reflected in future versions of the Brokercheck record. While the customer complaints mentioned in the Brokercheck report allege misconduct by John F. Schlagheck, the Brokercheck report does not appear to indicate whether he was a named party to those customer complaints, or the customers took action solely against the broker-dealer firm(s) that employed him at the time of the alleged conduct. Readers interested to learn more are encouraged to read the Brokercheck report or contact the Rosca Scarlato investor lawyers.
Concerned about investments with
Two Judgement/Liens Reported on Schlagheck’s Brokercheck
The IRS ordered Schlagheck to pay a tax lien of $26,142, filed by the Common Pleas Court in Monroe County, Michigan, in September of 2015. Schlagheck was reportedly subject to another tax lien of $78,045, filed by the 38th Judicial Circuit Court in Monroe County, Michigan, in 2010.
John Schlagheck Has Been a Registered Broker Since 1982
According to his Brokercheck, John Schlagheck most recently was registered as a broker with Cape Securities Inc., located in McDonough, Georgia, from 2022 to 2023. From 2017 to 2022, Schlagheck reportedly served as a broker with Intervest International Equities Corporation, in its Ottawa Lake, Michigan office. Schlagheck allegedly was employed as a broker by Southeast Investments, N.C., Inc., in Charlotte, North Carolina, from 2007 to 2017.
Potential Compensation May Be Available for Concerned Schlagheck Investors
The Rosca Scarlato LLC law firm represents investors who lose money as a result of investment-related fraud or misconduct and is currently investigating circumstances surrounding previously registered broker John Schlagheck’s alleged negligence, breach of fiduciary duty, and unsuitable recommendations, among others.
Rosca Scarlato LLC law firm typically represents clients on a contingency fee basis. This means that it advances the case costs and expenses, and fees are only paid from any compensation recovered for clients. Attorney Alan Rosca, an investment lawyer and former adjunct professor of securities regulation, has over 14 years of experience representing investors who have experienced investment loss due to broker misconduct.
Investors who are concerned about their investments with John Schlagheck may contact attorney Alan Rosca for a free no-obligation consultation by calling toll-free 888-998-0530, via email at arosca@rscounsel.law, or through the contact form provided on our webpage.
