Rushton Ardrey and Wells Fargo Advisors

Have you lost money with financial advisor Rushton Ardrey of Boston, Massachusetts?  We are investigating allegations made against Rushton L. Ardrey III. According to Rushton Ardrey’s BrokerCheck report, Ardrey has been the subject of at least four customer complaints between January 2013 and the present.  The customer complaints allege that Ardrey made unsuitable investment recommendations between 2009 to 2013.  Ardrey denied all claims made against him.

Rushton Ardrey was a financial advisor and registered representative of Wells Fargo Advisors from September 2009 to November 2013.  Ardrey was also affiliated with Coastal Equities from November 2013 to December 2013; with White Weld & Co. Securities from December 2013 to October 2014; and with Newport Coast Securities from October 2014 to August 2015.  He worked at a branch office in Boston, Massachusetts.  In addition to the customer complaints, Ardrey was terminated by Wells Fargo Advisors, and he has been the subject of at least three regulatory actions.

Brokerage firms like Wells Fargo Advisors have a responsibility to adequately supervise all representatives who are registered through their firm.  Brokerage firms also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When brokerage firms fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Israels & Neuman PLC is a securities and investment fraud law firm with offices in Bellevue, Washington and Denver, Colorado.  We represent investors in FINRA arbitration proceedings in all 50 states, including investors throughout the Boston area and New England. Our attorneys have represented over one thousand investors against many brokerage firms in the past, including Wells Fargo Advisors, LPL Financial, Merrill Lynch, Morgan Stanley, Smith Barney, Stifel Nicolaus & Company, UBS Financial Services, Oppenheimer, Charles Schwab, Ameriprise Financial Services, Raymond James, ProEquities, Securities AmRushtona, National Securities Corp., and many others.

Click to view:  Ardrey, Rushton BrokerCheck 7.11.16

HAVE YOU LOST MONEY WITH RUSHTON ARDREY OR WELLS FARGO ADVISORS?

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