The securities fraud attorneys at Meyer Wilson are currently investigating claims against broker and investment adviser Howard Broud (CRD# 31868).
According to the Financial Industry Regulatory Authority (FINRA) BrokerCheck report on Wunderlich Securities, Inc. broker and investment adviser Howard D. Brous (CRD# 31868), he is currently the subject of one pending customer dispute and previously settled four customer disputes. He has also been the subject of multiple state regulatory inquiries that resulted in him agreeing to not exercise discretion in customer accounts or act in a supervisory capacity for a period of time.
The pending customer dispute was filed on August 25, 2016 and alleges that Brous over concentrated customer funds in unsuitable securities, committed common law fraud, acted negligently and breached his fiduciary duty. The four previously settled customer complaints also related to allegations of unsuitable investments.
Brous is currently registered with Wunderlich Securities, Inc. based out of Great Neck, NY. He was previously registered with HD Brous & Co. Incorporated based out of Great Neck, NY.
Contact the securities fraud attorneys at Meyer Wilson today if you lost money investing with Wunderlich Securities, Inc. broker and investment adviser Howard Brous. We’ve helped approximately 1,000 clients recover more than $350 million in verdicts and settlements since we first opened our doors almost 20 years ago. Call us at one of our four offices located around the country, or fill out our online form to request a free case evaluation today.