Last Updated: October 2023 (Charleston, WV)
John Holland Investigation Summary
Here’s what you need to know about Charleston, West Virginia, stockbroker John Holland:
- Name: Mr. John Russell Holland
- Current Employer: Cetera Advisor Networks, Cetera Investment Advisers (RIA)
- Previous Firms: Summit Financial Group, Securities Management & Research
- Function: Stock Broker/ Registered Investment Advisor
- Aliases: John Holland
- Primary Location: Charleston, WV
- CRD 2538118
- Can John Holland be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Discharged by a prior employer: Yes
- Highest Settlement or Award: $100,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With John Holland As Your Stockbroker?
John Holland discloses three customer complaints that were settled, including:
- In 3/2021 a customer of Securities Management & Research / Summit Brokerage Services was paid $100,000 to resolve a FINRA arbitration alleging that John Holland recommended unsuitable investments and made unauthorized trades and that the brokerage firms failed to supervise Holland.
Allegations of Broker Misconduct Against John Holland
Customers of John Holland and the firms he worked for have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendations
- Unauthorized Trading
- Failure to Supervise
- Misrepresentations
- Miscommunication concerning the allocation of funds
John Holland was discharged by two of the prior firms where he was employed for altering client documents.
The Financial Industry Regulatory Authority (FINRA) is the agency that licenses and regulates stockbrokers and brokerage firms. FINRA requires brokers and brokerage firms to report customer complaints and disputes as well as regulatory sanctions. In addition brokers are required to disclose certain financial matters such as personal bankruptcies, judgments and liens.
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by John Holland, contact us for a complimentary consultation with an experience securities lawyer to learn how you may be able to recover damages through FINRA arbitration.
With offices in Boca Raton, FL and Austin, TX, stockbroker fraud attorney Bob Rex provides representation to investors nationwide who are seeking recovery of investment losses due to the negligence or fraud of stockbrokers, financial advisors and broker dealers.
If you have questions about how your account has been handled, call (877) 224-3199 to speak with an experienced securities attorney at no cost to you.
Most cases are handled on a contingent fee basis meaning that you do not pay legal fees unless we are successful.
