Last Updated: June 2024 (Rockland, Maine)
Meredith Anne Lyon Investigation Summary
Here’s what you need to know about Rockland, ME stockbroker Meredith Anne Lyon:
- Name: Meredith Anne Lyon
- Current Employer: United Planners’ Financial Services of America
- DBA: The Masterman Agency
- Function: Stock Broker/ Financial Advisor
- Primary Location: Rockland, ME
- CRD Number: 6021833
- Can Meredith Anne Lyon be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Dispute Seeks Damages of: $99,999
If you’ve sustained damages from Ms. Lyon, discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Meredith Anne Lyon As Your Stockbroker?
In 5/2024 a customer of United Planners’ Financial Services of America filed a pending claim seeking damages of $99,999. The allegations include breach of fiduciary duty, violation of NASD and NYSE rules, breach of contract, and negligence related to an alternative investment. This matter is currently pending. Case number 24-01076.
[LEARN MORE]: See this for more information on REITs and Other Alternative Investments
Allegations of Broker Misconduct Against Meredith Anne Lyon
Customers of Meredith Anne Lyon have alleged the following wrongdoing in connection with the handling of customer accounts:
- Breach of fiduciary duty
- Violation of NASD and NYSE rules
- Breach of contract
- Negligence
Brokers and their firms have a duty to comply with FINRA rules, including the suitability rule (FINRA Rule 2111), which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer. Allegations such as breach of fiduciary duty and negligence suggest potential violations of these obligations.
[LEARN MORE]: Firms Have a Duty to Supervise their Financial Advisors (FINRA Rules 3110 & 2090)
Brokers and their firms have a duty to comply with the FINRA suitability rule which requires that they have a reasonable basis to believe that a recommendation is suitable for the customer.
[LEARN MORE]: FINRA Rule 2111- suitability -Regulation Best Interest
Recover Your Investment Losses Now With Rex Securities Law
If you have suffered investment losses in an account handled by Meredith Anne Lyon, contact us for a complimentary consultation with an experienced 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.