Former Sandlapper Wealth Management, LLC broker Scott Ozer (CRD# 1009252) is accused of unsuitable investment recommendations. Ozer has been registered with Emerson Equity LLC in Agoura Hills, California since 2019. Previously, Ozer was registered with Sandlapper Wealth Management, LLC in Agoura Hills, California from 2014 to 2019.
Ozer has been the subject of three customer complaints between 1998 and 2020, one of which was closed without action, according to his CRD report. Recent complaints are regarding:
- March 2020. “Clients allege wrongful conduct, Breach of fiduciary duty, Breach of written contract, Breach of oral contract, Violations of State and Federal Securities Laws. Financial Abuse.” The customer is seeking $300,000 in damages and the case is currently pending. The complaint took place while Ozer was registered with Sandlapper Wealth Management, LLC and was regarding direct investments and real estate securities.
- January 2020. “Unsuitable Recommendations.” The customer is seeking $600,000 in damages and the case is currently pending. The complaint took place while Ozer was registered with Sandlapper Wealth Management, LLC and was regarding direct investments and real estate securities.
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, Sandlapper Wealth Management, LLC may be liable for investment or other losses suffered by Ozer’s customers.
Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If and 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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