Last Updated: September 2023 (Lone Tree, CO)
William Duffy Investigation Summary
Here’s what you need to know about Lone Tree, CO, stockbroker Will Duffy:
- Name: Mr. William Duffy
- Current Employer: Innovation Partners LLC dba Duffy Financial and WD Wealth Strategies
- Previous Firms: Emerson Equity LLC, Accelerated Wealth Advisors, Kingstone Captital Partners
- Function: Stock Broker/ Financial Advisor
- Aliases: Will Duffy, William Christopher Duffy
- Primary Location: Lone Tree, CO
- CRD 6726333
- Can William Duffy be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement : $10,100
- Pending Customer Dispute Seeks Damages of $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 William Duffy As Your Stockbroker?
In 9/2022 a customer of Emerson Equity filed a FINRA arbitration alleging that William Duffy was negligent and made an unsuitable recommendation to invest in promissory notes. The customer is seeking damages of between $100,000-$500,000 in this currently pending matter.
Allegations of Broker Misconduct Against William Duffy
Customers of William Duffy have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation
- Professional negligence
- Breach of Fiduciary Duty
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 William Duffy, 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.
