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William Via Has 15 Customer Complaints

William ViaPublicly available records provided by the Financial Industry Regulatory Authority (FINRA) on May 16, 2016 indicate that Virginia-based Oppenheimer & Company broker/adviser William Via has received more than a dozen customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Via (CRD# 1163524).

William Via has spent 32 years in the securities industry and has been registered with Oppenheimer & Company in Richmond, Virginia since 2014. Previous registrations include BB&T Securities in Richmond, Virginia; Scott & Stringfellow in Richmond, Virginia; UBS PaineWebber in Weehawken, New Jersey; and Merrill Lynch in New York, New York. He is a registered broker and investment adviser with eleven US states and territories: California, Florida, Georgia, Louisiana, Maryland, New York, North Carolina, Oklahoma, South Carolina, Virginia, and Washington.

According to his BrokerCheck report, William Via has been the subject of 15 customer complaints.

In January 2015, a customer alleged that William Via, while employed at BB&T Securities, did not disclose that certain investments could fluctuate in value. The complaint settled in February 2016 for more than $11,600.

In 2014, a customer alleged that William Via, while employed at BB&T Securities, executed an unauthorized transaction and did not disclose that certain investments could fluctuate in value. The complaint settled in February 2016 for more than $11,900.

In 2014, a customer alleged that William Via, while employed at BB&T Securities, did not disclose that certain investments could fluctuate in value. The complaint settled in February 2016 for $11,600.

In 2014, a customer alleged that William Via, while employed at BB&T Securities, told him that a certain investment had a death put. The complaint settled for more than $35,200.

In 2014, a customer alleged that William Via, while employed at BB&T Securities, executed an unauthorized transaction. The complaint settled for $7,500.

In 2012, a customer alleged that William Via, while employed at Scott & Stringfellow, executed unsuitable investments and charged excessive commissions and fees. The complaint settled in 2013 for $40,000.

In 1991, a customer alleged that William Via, while employed at PaineWebber, misrepresented material facts, breached his fiduciary duty, and recommended unsuitable investments. The complaint resulted in an award to the customer of $12,000.

If you have complaints regarding William Via, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. You may be entitled to recoup your losses. All cases are taken on contingency: we only receive payment if and when you recover money. You may have a limited window to file your complaint, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.