The law firm of Oakes & Fosher is presently investigating the alleged misconduct of former securities broker David W. Stewart. According to his publicly available FINRA BrokerCheck report, David W. Stewart was terminated from his member firm.
David W. Stewart was a Pennsylvania based securities broker. He worked in the securities industry for thirty-four years. During his career, he was registered with fourteen different securities firms. David Stewart is no longer working as a registered securities broker in any fashion.
His Registrations
- Pruco Securities Corporation (1983-1997)
- 1717 Capital Management (1997-1999)
- Tower Square Securities (1998)
- Locust Street Securities (1999-2000)
- Atlas Brokerage Company (2000-2004)
- WRP Investments (2004)
- Blue Vase Securities (2004-2005)
- Financial Network Investment Corporation (2005-2006)
- Fortune Financial Services (2006, 2013-2017)
- WRP Investments (2006-2007)
- Trustmont Financial Group (2007-2013)
- Keystone Capital Corporation (2013)
- IBN Financial Services (2017-2018)
The Allegations
David W. Stewart was discharged from his position at IBN Financial Services in March 2018. This followed allegations that he violated their policy regarding selling away as well as violated industry standards of conduct.
Oakes & Fosher Can Help
Many investors are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who have lost money in this fashion may actually be entitled to damages.
Oakes & Fosher dedicates its entire legal practice to helping investors across the nation. If you, or someone you know, have lost money investing with David W. Stewart, please contact Oakes & Fosher for a free and private consultation. Oakes & Fosher handles cases on a contingency basis, which means there are no fees charged unless we collect for you.
