Erez Law is currently investigating Dominion Investor Services, Inc. broker Lance Walston (CRD# 4440958) regarding options investment losses. He has been registered with Dominion Investor Services, Inc. in San Antonio, Texas since 2017.
Lance Walston Customer Complaints
Lance Walston has been the subject of six customer complaints between 2011 and 2021, one of which denied, according to his CRD report. The most recent complaints are regarding:
March 2021. “Losses in accounts from September, 2018 to December, 2018.” The case was settled for $150,000. The complaint was regarding options losses and took place while he was registered with Dominion Investor Services, Inc.
March 2020. “The Investment Advisor Representative strayed from the client’s objectives which resulted in losses in the accounts. Activity dates were September, 2018 to October, 2019.” The case was settled for $188,000. The complaint was regarding options losses and took place while he was registered with Dominion Investor Services, Inc.
November 2019. “Deviated from the client’s stated objectives in the fall of 2018.” The case was settled for $40,009.42. The complaint was regarding options losses and managed accounts and took place while he was registered with Dominion Investor Services, Inc.
November 2019. “Deviated from the client’s stated objectives in the fall of 2018.” The case was settled for $82,190.82. The complaint was regarding options losses and managed accounts and took place while he was registered with Dominion Investor Services, Inc.
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, Dominion Investor Services, Inc. may be liable for investment or other losses suffered by Lance Walston’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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