Landon L. Williams Allegedly Recommended Certain Securities Transactions and Made False and Misleading Statements, and/or Omitted Material Information Regarding Said Securities
Landon L. Williams allegedly participated in a telephone conversation with five separate customers wherein he recommended certain securities transactions, according to a Complaint from FINRA’s Department of Enforcement currently under review by attorneys Alan Rosca and James Booker.
Said Complaint also notes that Williams also made false and misleading statements to customers and also omitted material information about the aforementioned securities.
The Peiffer Rosca Wolf securities lawyers are currently investigating KCD Financial’s alleged sale of unregistered securities.
Landon L. Williams Entered “Notes” in His Merrill Lynch Customer Relationship Management Application, Allegedly Providing False and Misleading Information Concerning Discussions and Disclosures to Customers
Landon L. Williams allegedly entered “notes” in his Merrill Lynch customer relationship management application wherein he detailed his discussions with each customer and the purported reasons he supported his recommendations, according to the aforementioned Complaint being examined by attorneys Alan Rosca and James Booker.
The aforementioned notes also allegedly provided false and misleading information concerning Williams’ discussions with each customer and disclosures made to said customer, the Complaint notes.
Based on the aforementioned conduct, Williams allegedly violated FINRA Rules and tenants of the Exchange Act, the Complaint also reports.
Securities Lawyers Investigating
The Peiffer Rosca Wolf securities lawyers often represent investors who lose money as a result of alleged unsuitable recommendations to customers and are currently investigating Landon L. Williams’ alleged unsuitable recommendations to customers. They take most cases of this type on a contingency fee basis and advance the case costs, and only get paid for their fees and costs out of money they recover for their clients.
Investors who believe they lost money as a result of Landon L. Williams’ alleged unsuitable recommendations to customers may contact the securities lawyers at Peiffer Rosca Wolf, Alan Rosca or James Booker, for a free no-obligation evaluation of their recovery options, at 888-998-0520.
from Investment Fraud Lawyers | Investor Loss Recovery http://ift.tt/2bbf8Yf
via Securitieslitigatos.com
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