Last Updated: September 2023 (New York, NY)
Yann Faho Investigation Summary
Here’s what you need to know about New York, NY , stockbroker Yann Faho:
- Name: Mr. Yann C. Faho
- Current Employer: Not registered with FINRA- dba Larchmont Wealth Advisors
- Previous Firms: Aegis Capital Corp., Spartan Capital Securities, Olympia Asset Management, National Securities Corp.
- Function: Former Stock Broker/ Financial Advisor
- Aliases: Jann C. Faho, John Faho, Yann Faho
- Primary Location: New York, NY
- CRD 5397543
- Can Yann Faho be sued in FINRA arbitration: Yes
- Sanctioned by FINRA: No
- Highest Settlement : $300,000
Discuss your case with experienced investment fraud lawyer Bob Rex at (877) 224-3199 for a free consultation.
Did You Lose Money With Yann Faho As Your Stockbroker?
Yann Faho discloses two customer disputes that were settled.
In 7/2021 a customer of Aegis Capital was paid $300,000 to resolve a FINRA arbitration alleging that Yann Faho made unauthorized trades, churned the customer account and made unsuitable investments.
In 3/2022 a customer of Aegis Capital was paid $115,000 to resolve allegations that Yann Faho mismanaged the account resulting in poor performance.
Allegations of Broker Misconduct Against Yann Faho
Customers of Yann Faho have alleged the following wrongdoing in connection with the handling of customer accounts:
- Unsuitable Investment Recommendation
- Churning
- Unauthorized Trading
- Poor Account Performance
- Breach of Contract
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 Yann Faho, 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.
