New York-based Ladenburg Thalmann & company broker is the subject of settled or pending customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Wyman (CRD# 473707).
Samuel Wyman has spent 44 years in the securities industry and has been registered with Ladenburg Thalmann & Company in Westhampton Beach, New York since October 2015. Previous registrations include Gilford Securities in Westhampton, New York; Advest in Hartford, Connecticut; Donaldson Lufkin & Jenrette Securities in Jersey City, New York; Credit Suisse First Boston Corporation in New York, New York; Loeb Partners; Hornblower Weeks Noyes & Trask; Spencer Trask & Company; W.E. Hutton & Company; and Thomson McKinnon Securities. He is a registered broker with eighteen US states and territories: Arizona, Arkansas, California, Connecticut, the District of Columbia, Florida, Maryland, Massachusetts, Minnesota, Nevada, New Jersey, New Mexico, New York, Oregon, Pennsylvania, South Carolina, Texas, and Virginia.
According to his BrokerCheck report, Samuel Wyman is the subject of one customer complaint, one pending customer complaint, and one regulatory sanction. He was additionally discharged from his position at Advest.
In August 2015 a customer alleged Samuel Wyman, while employed at Gilford Securities, recommended unsuitable investments. The customer is seeking $175,000 in damages in the pending complaint.
In 2002 a customer alleged Samuel Wyman, while employed at Advest, executed unsuitable trades and used margin without her consent. The complaint settled for more than $2,500.
In 1996 the American Stock Exchange sanctioned Samuel Wyman following allegations he “engaged in conduct inconsistent with just and equitable principles of trade” by disclosing non-public information to a broker, and purchased shares of a stock for his own account and solicited customers to purchase shares, while in possession of non-public information. He was censured and issued a fine of $40,000.
If you have complaints regarding or have lost money investing with alleged Samuel Wyman, you may be entitled to recover your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. Fitapelli Kurta takes every case on a contingency basis, which means Fitapelli Kurta only gets paid if and when you collect money. By law there may be a limited window to file your claim, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.
This information provided to the public by FINRA on April 4, 2015.