Published On: October 26, 2015

Stoltmann Law Offices is investigating Bennett Broad, a former broker with Oppenheimer & Co. in Jenkintown, Pennsylvania. He is accused of making unsuitable investment recommendations, negligence, unauthorized trading, misrepresentations and churning and excessive trading, according to his Financial Industry Regulatory Authority (FINRA) BrokerCheck report. Brokers have a duty to take into account their client’s net worth, investment savvy, portfolio and age, among other things when making investment recommendations. If they do not, their firms or former firms can be held liable for investment losses in the FINRA arbitration process. We sue firms such as Oppenheimer in the FINRA arbitration process to recover investment losses for you. Our number is 312-332-4200 and we take cases on a contingency fee basis.

Broad was registered with Philips, Appel & Walden from December 1979 until March 1980, Dean Witter Reynolds in Purchase, New York from February 1980 until October 1998, UBS Painewebber in Weehawken, New Jersey from September 1998 until March 2003 and Oppenheimer & Co. in Jenkintown, Pennsylvania from March 2003 until April 2015. He has 28 customer disputes against him, one of which is currently pending. He is not registered currently with any member firm and FINRA has permanently barred him from the industry.

Disclaimer

The posting on this site are mere OPINIONS and NOT statements of fact in any way whatsoever. The information should not be relied upon and there have been no findings made against the firms or individuals referenced on this site. In addition, this Blog is made available for educational purposes only and incorporates information from the web as well as to give you general information and a general understanding of the law, not to provide specific legal advice. By using this blog site you understand that there is no attorney client relationship between you and Stoltmann Law Offices (161 N Clark Street 16th Floor Chicago, IL 60601). The Blog opinions should not be used as a substitute for competent legal advice from a licensed professional attorney in your state.

PLEASE NOTE THIS IS ADVERTISING AND IT IS NOT A NEWSPAPER ARTICLE OR POST FROM AN INDEPENDENT OR NON-BIASED, NEWS SITE, NEWS SOURCE OR NEWSPAPER.

Chicago Investment Fraud Attorneys Offering Nationwide Representation to Investors

If you have suffered financial losses because of the negligence or fraud of your financial advisor or broker through unsuitable investment recommendations, over-concentration, churning, misrepresenting risks, conversion or selling away, you have legal rights and options to pursue recovery of those losses.

Stoltman Law Securities and Investment Fraud Attorneys