William Harvey Received a Complaint for Recommending Unsuitable Securities

William Harvey

Public records published by the Financial Industry Regulatory Authority (FINRA) on April 23, 2018 indicate that Pennsylvania-based Janney Montgomery Scott broker/adviser William Harvey has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Harvey (CRD# 2398782).

William Harvey has spent 24 years in the securities industry and has been registered with Janney Montgomery Scott in Doylestown, Pennsylvania since 2002. Previous registrations include Legg Mason Wood Walker in Baltimore, Maryland (1994-2002) and LC Wegard & Company in New York, New York (1994). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on January 12, 1994, and Series 7 (General Securities Representative Examination), which he obtained on December 18, 1993. He is a registered broker and investment adviser with 32 US states and territories: Arizona, Arkansas, California, Colorado, Connecticut, Delaware, the District of Columbia, Florida, Georgia, Indiana, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, New Hampshire, New Jersey, New York, North Carolina, Ohio, Oregon, Pennsylvania, South Carolina, Tennessee, Texas, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.

According to his BrokerCheck report, he has received two customer complaints and one pending customer complaint.

In 2016 a customer alleged William Harvey, while employed at Janney Montgomery Scott, recommended unsuitable securities, misrepresented material facts, and made unauthorized transactions. The customer is seeking $280,000 in damages in the pending complaint.

In 2016 a customer alleged William Harvey, while employed at Janney Montgomery Scott, recommended unsuitable products. The complaint settled for $30,000.

In 2009 a customer alleged William Harvey, while employed at Janney Montgomery Scott, gave unsuitable investment advice. The complaint settled for $9,000.

In 2009 a customer alleged he, while employed at Janney Montgomery Scott, made unsuitable investment recommendations. The customer sought $161,025 in damages in the complaint, which was denied.

In 2003 a customer alleged he, while employed at Legg Mason Wood Walker, executed unauthorized trades, made unsuitable investment recommendations, and failed to follow instructions. The customer sought $25,000 in damages in the complaint, which was denied.

If you have lost money investing with William Harvey, you may be able to recover your losses. Call Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: Fitapelli Kurta only gets paid if and when you collect funds. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.