Last Updated: June 2024 (Kingsport, TN)
William Osborne Investigation Summary
Here’s what you need to know about Kingsport, TN, stockbroker Robert Osborne:
- Name: Mr. William Doby Osborne
- Current Employer: Not currently registered with FINRA
- DBA: ECU Asset Management
- Previous Firms: LPL Financial
- Function: Stock Broker/ Financial Advisor
- Aliases: William Osborne
- Primary Location: Kingsport, TN
- CRD 1859501
- Can William Osborne be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Pending Customer Complaint Seeks Damages of Unspecified Amount
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With William Osborne As Your Stockbroker?
A customer of LPL Financial filed a FINRA arbitration in 52024 alleging that in 2014 William Osborne made unsuitable recommendations unsuitable for their investment strategy and risk tolerance. The product type is real estate securities.
[LEARN MORE]: See this for more information on REITs and Other Alternative Investments
Alternative Investments: These are assets that are not stocks, bonds or cash. Alternative investments generally fall within five categories: hedge funds, private capital, natural resources (oil and gas, energy), real estate (REITs) and infrastructure. They are typically less liquid that conventional investments, less regulated with higher fees and generally higher risk.
Allegations of Broker Misconduct Against William Osborne
A customer of William Osborne has alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation contrary to their investment objectives and risk tolerance.
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
[LEARN MORE]: Investigation of LPL Financial and LPL Brokers-Lawsuits, Arbitrations & Customer Disputes
If you have suffered investment losses in an account handled by William Osborne, 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.
