Last Updated: October 2023 (Houston, TX)
Vivian Griffith Investigation Summary
Here’s what you need to know about Houston, TX, stockbroker Vivian Griffith:
- Name: Vivian Herding Griffith
- Current Employer: Fidelity Brokerage Services, Fidelity Personal and Workplace Advisors (RIA)
- Previous Firms: Frost Securities, Strategic Advisors (RIA)
- Function: Stock Broker/ Financial Advisor
- Aliases: Vivian Yun Griffith, Vivian Yun Herding
- Primary Location: Houston, TX
- CRD 4235014
- Can Vivian Griffith be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Vivian Griffith As Your Stockbroker?
A customer of Fidelity Brokerage Services made a customer complaint in 2020 alleging that Vivian Griffith failed to act in his best interest when the holdings in his 401K were liquidated in April 2020 to fund a managed account and the assets remained uninvested for over 20 days resulting in lost financial opportunity. The firm “denied” the claim and apparently the customer has not pursued the matter further.
Has Your Brokerage Firm “Denied” Your Claim for Damages Due to Stockbroker Malpractice?
It is quite common, as well as predictable, for brokerage firms to deny a customer’s complaint made directly to the company. Firms know that in many, if not most, instances telling the customer “we don’t think it’s our fault” will be an end to the problem. In other words, it’s generally a waste of your time to sit down with the office manager & the broker.
They seldom, if ever, offer any resolution or if they do, will attempt to have you resolve your case for a fraction of what it is actually worth.
We suggest that if you think there is a problem with the way your account has been handled, or if you have had your claim “denied”, talk to an experienced securities attorney.
Allegations of Broker Misconduct Against Vivian Griffith
Customers of Vivian Griffith have alleged the following wrongdoing in connection with the handling of customer accounts:
- Failed to reinvest liquidated assets in a timely fashion when setting up managed account
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 Vivian Griffith, 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.
