Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on July 11, 2016 indicate that Arkansas-based Wilbanks Securities broker Andrew Hardie has been the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Hardie (CRD# 1765110).
Andrew Hardie has spent 28 years in the securities industry and has been registered with Wilbanks Securities in Rogers, Arkansas since April 2015. Previous registrations include Stifel Nicolaus & Company in Rogers, Arkansas; Wells Fargo Advisors in Rogers, Arkansas; and AG Edwards & Sons in Rogers, Arkansas. He is a registered broker with eight US states and territories: Arkansas, California, Kansas, Missouri, Ohio, Oklahoma, South Carolina, and Texas.
According to his BrokerCheck report, Andrew Hardie has received three customer complaints and was discharged from his previous employer.
In July 2015, a customer alleged Andrew Hardie, while employed at Stifel Nicolaus & Company, overcharged a pension fund. The complaint settled for $27,535.
In April 2015, Andrew Hardie was terminated from his position at Stifel Nicolaus & Company following allegations of “failure to disclose prior liens, and loss of confidence.”
In 2000, a customer alleged Andrew Hardie, while employed at AG Edwards & Sons, breached his fiduciary duty, acted negligently, misrepresented material facts, committed fraud, and executed unauthorized trades. The complaint resulted in an award to the customer of $1,070,019, to which Mr. Hardie individually contributed $50,000.
In 1995, a customer alleged Andrew Hardie, while employed at AG Edwards & Sons, executed unauthorized and unsuitable options trading. The complaint settled for $29,217, to which Mr. Hardie individually contributed $29,217.
If you have complaints regarding or have lost money investing with Andrew Hardie, 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.