Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) on October 21, 2016 indicate that Iowa-based H. Beck broker/adviser Steve Walsh has been named in a pending regulatory complaint. The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding Mr. Walsh (CRD# 2478773).
Steve Walsh has spent 22 years in the securities industry and has been registered with H. Beck in Clive, Iowa since May 2016. Previous registrations include VSR Financial Services in Clive, Iowa and Royal Alliance Associates in New York, New York. He is a registered broker and investment adviser with fifteen US states: Arizona, California, Colorado, Iowa, Minnesota, Missouri, North Carolina, North Dakota, Oklahoma, Oregon, South Dakota, Tennessee, Texas, Virginia, Wisconsin.
According to his BrokerCheck report, Steve Walsh has received three customer complaints and one pending regulatory complaint.
In August 2016 the Florida Office of Financial Regulation named Steve Walsh respondent in a complaint alleging he made a material misstatement on his application for registration. The complaint remains pending.
In 2010 a customer alleged Steve Walsh, while employed at VSR Financial Services, recommended an unsuitable investment in a direct participation program. The complaint settled for $35,000.
In 2008 a customer alleged Steve Walsh, while employed at VSR Financial Services, unsuitably recommended an investment in a direct participation program. The complaint settled in 2009 for $42,000.
In 1999 a customer alleged Steve Walsh, while employed at VSR Financial Services, acted negligently, committed forgery, omitted material facts related to an investment, and made unsuitable recommendations. The complaint resulted in an award to the customer of $3,500.
If you have complaints regarding or have lost money investing with Steve Walsh, you may be entitled to recover your losses. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. Fitapelli Kurta takes every case on a contingency basis, which means Fitapelli Kurta only gets paid if and when you collect money. By law there may be a limited window to file your claim, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.