Anthony Liddle, Formerly with Western International Securities and Landolt Securities, Barred by FINRA

WAUSAU WISCONSIN

Have you lost or lent money with financial advisor Anthony Liddle from Wausau, Wisconsin?  Israels & Neuman is looking into claims made by FINRA, against Anthony Baker Liddle.  In May 2022, Anthony Liddle was “permitted to resign” by his former brokerage firm, Landolt Securities, which then triggered an investigation by FINRA.

FINRA barred Liddle from the securities brokerage industry when Liddle failed to respond to its investigation.  The investigation surrounded allegations that Liddle “borrowed” $1.8 million from customers of his former brokerage firms, Landolt Securities and Western International Securities.  FINRA alleged that Liddle borrowed money from at least 13 customers.

Anthony Liddle had been with Western International Securities from September 2012 to April 2020, and then he worked with Landolt Securities from April 2020 to May 2022.  He had been working in offices in Wausau and Oshkosh, Wisconsin.  Liddle had also been operating Prosper Wealth Management in Wausau.

FINRA Rule 3240 provides that financial advisors can borrow funds from customers under limited circumstances only.  Moreover, the advisor must get permission from his or her brokerage firm to do so.  Likewise, firms must adequately supervise the advisors under Rule 3110.  If they fail to supervise, per the rules it could result in financial responsibility for the advisor and/or brokerage firm.

Our investment fraud and securities arbitration law firm represents investors throughout the country, including investors in Wisconsin.  We also have previously represented investors against Western International Securities.

View Liddle, a BrokerCheck 6.15.22

View Liddle, a FINRA AWC

If you lost money with Anthony Liddle or Western International Securities, please Contact Us at 720-599-3505 or 206-795-5798 for a free evaluation of your case.