A Look at Broker Scot Barringer's BrokerCheck
Broker Scot Barringer (CRD# 1385168) currently is registered at Chicago Capitol Management Advisors LLC, in Denver, Colorado and at American Trust Investment Services, Inc, in San Clemente, California. Barringer has six customer disputes and two regulatory disputes reported on his BrokerCheck.
For example, a customer dispute alleges breach of fiduciary duty, violation of NASD and NYSE rules, breach of contract, negligence, and negligent supervision, all in regard to GWG L Bonds. The dispute alleges damages of $95,000.00 and has been settled.
Another customer dispute alleges unsuitability of GWG L Bonds and omission of material facts. The dispute alleges damages of $60,000.00.
FINRA regulators also investigated Broker Scot Barringer regarding unsuitable recommendations. The regulatory investigation resulted in a FINRA settlement, known as an Acceptance, Waiver and Consent (AWC).
We are a Chicago-based law firm with a national practice, representing investors nationwide in seeking to recover their investment losses. The firm continues to investigate brokerage firms and brokers who have placed elderly investors, retirees and other conservative investors in unsuitable investments.
We receive the highest rankings as attorneys for quality work and ethics. We successfully have filed numerous cases against brokerage firms that sold high-risk investments, recovering more than $50 million on behalf of victimized investors. In those cases, we allege that the investment recommendations were unsuitable for our clients based on their financial situation, needs, and investment objectives.
We offer free case evaluations and handle matters on a contingency fee basis-meaning you pay no attorney's fees unless we recover compensation for you. If you have incurred investment losses with Scot Barringer and would like a securities attorney to evaluate your case, please contact us.