There are options for clients of Voya Financial Advisors, Inc. broker David Wall (CRD# 1651874) who suffered investment losses. Wall has been registered with Voya Financial Advisors, Inc. in Simpsonville, South Carolina since 2013. Wall was previously terminated from Mony Securities, Inc. in New York, New York regarding, “ forgery of new account form with no loss of claims incurred.”
Wall has been the subject of three customer complaints in 2020, according to his CRD report:
- December 2020. “Allegations include unsuitable, illiquid investments were recommended in 2014.” The case is currently pending. The complaint is regarding real estate securities.
- July 2020. “Allegations within the Statement of Claim include representative (and others) solicited the sale of unsuitable securities.” The customer is seeking $5 million in damages and the case is currently pending. The complaint is regarding variable annuities, real estate securities, and unit investment trusts.
- July 2020. “Allegations within the Statement of Claim include representative (and others) solicited the sale of unsuitable securities.” The customer is seeking $5 million in damages and the case is currently pending. The complaint is regarding variable annuities, real estate securities, and unit investment trusts.
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, Voya Financial Advisors, Inc. may be liable for investment or other losses suffered by Wall’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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