Publicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on April 18, 2018 indicate that New York-based broker Harold Weber has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Weber (CRD# 1047064).
Harold Weber has spent 35 years in the securities industry and is currently based in New York, New York. His previous registrations include Wells Fargo Advisors in Airmont, New York (2012-2016); Morgan Stanley in Paramus, New Jersey (2009-2013); Citigroup Global Markets in Paramus, New Jersey (1998-2009); Painewebber in Weehawken, New Jersey (1994-1998); Prudential Securities in New York, New York (1989-1994); Thomson McKinnon Securities in New York, New York (1988-1989); Shearson Lehman Hutton (1988); EF Hutton & Company (1983-1988); SD Cohn & Company (1983-1984); and Unified Securities Corporation (1982-1983). He has passed two securities industry examinations: Series 63 (Uniform Securities Agent State Law Examination), which he obtained on March 22, 1984, and Series 7 (General Securities Representative Examination), which he obtained on June 19, 1982. He is a registered broker with five US states: Connecticut, Florida, New Jersey, New York, and Texas. He is registered with two self-regulatory organizations: FINRA and the Nasdaq Stock Market.
According to his BrokerCheck report, he has received three customer complaints and one pending customer complaint.
In March 2018 a customer alleged Harold Weber, while employed at Morgan Stanley Smith Barney, recommended unsuitable investments. The customer is seeking more than $274,4100 in damages in the pending complaint.
In June 2017 a customer alleged Harold Weber, while employed at Wells Fargo Advisors, misrepresented material facts and recommended unsuitable investments. The complaint settled for $50,000.
In 2016 a customer alleged Harold Weber, while employed at Wells Fargo Advisors, over-concentrated his retirement account in “volatile and speculative penny stocks.” The complaint settled for $15,000.
In 2016 a customer alleged he, while employed at Wells Fargo Advisors, made excessive trades and recommended unsuitable investments. The complaint settled for $3,800.
If you or someone you know has a complaint regarding Harold Weber, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.