Securities Lawyers Blog
The law offices of Gana Weinstein LLP are currently investigating claims that Broker Baron Willis (Willis) has been accused by investors of engaging in fraudulent misappropriation of their funds. According to records kept by The Financial Industry Regulatory Authority (FINRA), it appears that Willis was employed by Chelsea Financial Services at the time of the activity. If you have been a victim of Willis’s alleged misconduct our firm may be able to assist you in recovering funds.
FINRA BrokerCheck shows a settled customer complaint with a damage request of $23,979.19 on March 20, 2020.
Rep engaged in selling away without the firm’s authorization and investment became worthless