DAVID YOUSEFZADEH at NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 5661720
DAVID YOUSEFZADEH is an Investment Adviser, associated with NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC located at GREENFIELD, MA. DAVID YOUSEFZADEH’s Central Registration Depository (CRD) number is 5661720 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for DAVID YOUSEFZADEH

    • Event Date: 5/10/2016
    • Disclosure Type: Customer Dispute
    • Resolution: Settled
    • Allegations: Customer alleges that representative’s recommendations to open an Advisory Account and purchase a life insurance policy were unsuitable.
    • Damage Amount Requested: $5,001.00
    • Settlement Amount: $70,000.00
    • Arbitration Docket Number:
See also  LUKE LEWIS WILEY at UBS FINANCIAL SERVICES INC. - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)


Should I file a FINRA complaint against brokers like DAVID YOUSEFZADEH?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update - 2022.11.15If you have suffered investment losses that may have been caused by DAVID YOUSEFZADEH’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today!

See also  Nicholas Edwin Reindl at UMB DISTRIBUTION SERVICES, LLC - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

 
BrokerAudit.com helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Our database reports whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both. We provide you with a snapshot of a broker’s employment history, regulatory actions, investment-related licensing information, arbitrations, and complaints, and allow users to share their experiences and reviews with these brokers and brokerage firms.


Frequently Asked Questions About DAVID YOUSEFZADEH

What is DAVID YOUSEFZADEH's Central Registration Depository (CRD) Number?

5661720

Which firm is DAVID YOUSEFZADEH associated with?

NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Where is DAVID YOUSEFZADEH located?

238 MAIN ST STE 2, GREENFIELD, MA, 1301

Where can I find more details about DAVID YOUSEFZADEH's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/2881 to read a detailed report for NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC

Are there any disclosures, allegations or complaints filed against DAVID YOUSEFZADEH?

Yes. There are disclosures, allegations, or complaints filed against DAVID YOUSEFZADEH. Click here to view all details

Where can I download a detailed FINRA report for DAVID YOUSEFZADEH?

Click here to download a detailed FINRA report for DAVID YOUSEFZADEH

Is it safe to do business with DAVID YOUSEFZADEH?

We’re not sure. Please research DAVID YOUSEFZADEH’s disclosures, allegations and complaints before taking a decision

See also  RICHARD V GRANGER at MORGAN STANLEY - View Complaints, Disclosures, Scams and Audit Report (Updated 2023)


Report Inaccuracy
Disclaimer

All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. BrokerAudit.com does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. BrokerAudit.com intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.



 

Share your experience with this broker

Leave a reply

Broker Audit
Logo
Register New Account