Ausdal Financial Partners, Inc. broker Wilfredo Miranda III (CRD# 6207329) is accused of GWG Holdings Inc. investment losses. He has been registered with Ausdal Financial Partners, Inc. in Oakbrook Terrace, Illinois, since 2014.
Wilfredo Miranda III Customer Complaints
He has been the subject of one customer complaint, according to his CRD report:
October 2022. “Breach of Fiduciary Duty; Failure to Supervise; Violation of Securities laws.” The customer is seeking $100,000 in damages, and the case is currently pending. The complaint was regarding GWG Holdings Inc. investment losses.
Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Ausdal Financial Partners, Inc. may be liable for investment or other losses suffered by Wilfredo Miranda III’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.
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