October 29, 2016 Comments (0) Blog, Current Investigations

William L. Tatro IV Investment Losses

(Last Updated On: November 29, 2016)

Have you suffered losses investing with William L. Tatro (CRD #808176, Newark, New York)? If so, The White Law Group may be able to help.

As we told you in June 2014, William Lewis Tatro IV was barred from securities industry.

At that time, Tatro’s Broker Check indicated there were over 60 customer disputes during his career in the securities industry. These complaints involved the sale of leveraged and inverse ETFs, variable annuities, equipment leasing investments, and mutual funds.

Since then there have been eight additional complaints from customers including the following:

01/22/2016

Customer Dispute – Settled- alleges unsuitability, breach of fiduciary duty, fraud, breach of contract, and negligence.

Damage Amount Requested

$200,000.00

Damages Granted

$7,500.00

12/01/2015

Customer Dispute – Settled – allege unsuitability, breach of fiduciary duty, fraud, breach of contract, negligent supervision,
negligent hiring, and violation of Florida Securities Act.

Damages Granted

$135,000.00

11/26/2014

Customer Dispute – Pending – ALLEGE MATERIAL MISREPRESENTATIONS AND OMISSIONS OF MATERIAL FACTS;
BREACH OF FIDUCIARY DUTY; BREACH OF CONTRACT; NEGLIGENCE; RESPONDEAT SUPERIOR; AND FAILURE TO SUPERVISE

11/17/2014

Customer Dispute – Pending – ALLEGE MATERIAL MISREPRESENTATIONS AND OMISSIONS OF MATERIAL FACTS;
BREACH OF FIDUCIARY DUTY; BREACH OF CONTRACT; NEGLIGENCE; RESPONDEAT SUPERIOR; AND FAILURE TO SUPERVISE.

11/13/2014

Customer Dispute – Settled – ALLEGE MATERIAL MISREPRESENTATIONS AND OMISSIONS OF MATERIAL FACTS; BREACH OF FIDUCIARY DUTY; BREACH OF CONTRACT; NEGLIGENCE; RESPONDEAT SUPERIOR; AND FAILURE TO SUPERVISE

Damages Granted

$640,500.00

11/12/2014

Customer Dispute – Settled

Allegations

NOVEMBER 2003 UNTIL SEPTEMBER 2009 AT FASI, CLAIMANTS ALLEGE MATERIAL MISREPRESENTATIONS AND
OMISSIONS OF MATERIAL FACTS; BREACH OF FIDUCIARY DUTY; BREACH OF CONTRACT; NEGLIGENCE; RESPONDEAT SUPERIOR;
AND FAILURE TO SUPERVISE.

Damages Granted

$250,000.00

11/12/2014

Customer Dispute – Pending – ALLEGE MATERIAL MISREPRESENTATIONS AND OMISSIONS OF
MATERIAL FACTS; BREACH OF FIDUCIARY DUTY; BREACH OF CONTRACT; NEGLIGENCE; RESPONDEAT SUPERIOR; AND
FAILURE TO SUPERVISE.

08/28/2014

Customer Dispute – Settled – CLAIMANT ALLEGES UNSUITABLE INVESTMENTS, MISREPRESENTATIONS OR OMITTED MATERIAL FACTS, BREACH OF FIDUCIARY DUTY,
VIOLATION OF NASD CONDUCT RULES, NEGLIGENCE, NEGLIGENT HIRING AND NEGLIGENT SUPERVISION, AND VICARIOUS LIABILITY.

Damage Amount Requested

$22,185.00

Damages Granted

$10,000.00

According to FINRA Broker Report, Tatro was registered with First Allied Securities from November 2003 through September 2010.

For the full details of FINRA’s investigation, see FINRA Case #2011026874301.

The foregoing information, which is publicly available on FINRA’s website, is being provided by The White Law Group.  The White Law Group is a national securities fraud, securities arbitration, and investor protection law firm with offices in Chicago, Illinois and Vero Beach, Florida.

For a free consultation with a securities attorney, please call The White Law Group at 888-637-5510.  For more information on the firm, visit http://www.whitesecuritieslaw.com.

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