National investment loss lawyers KlaymanToskes is investigating broker William Duffy (CRD# 6726333) of WD Wealth Strategies, Duffy Financial, and Emerson Equity after several customer complaints were filed with the Financial Industry Regulatory Authority (“FINRA”), alleging investor damages due to unsuitable investment recommendations. KlaymanToskes is currently representing former customers of William Duffy who are seeking to recover investment losses due to unsuitable recommendations to invest in GWG L Bonds.
Duffy has 5 pending customer complaints according to FINRA BrokerCheck. Broker William Duffy was previously registered with Emerson Equity from 2019 to 2022 and with Sharenett Securities from 2022 to 2023 in Lone Tree, CO. Duffy was reportedly doing business as WD Wealth Strategies and Duffy Financial. Duffy was also previously registered with Innovation Partners from August 2022 to January 2024.
Nearly three years after GWG filed for bankruptcy, the GWG Wind Down Trust has confirmed that L Bondholders will receive only approximately three cents for every dollar invested after deductions. To put this into perspective, a $100,000 investment in GWG L Bonds will yield approximately $3,000 in recovery from the bankruptcy. Given this outcome, investors must act quickly to explore recovery options. Recoveries in FINRA arbitration claims against the brokerage firms that recommended these risky investments generally yield greater results than other avenues of recovery.
Investors that suffered losses with broker William Duffy are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at lawrence@klaymantoskes.com to discuss recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
Below is a timeline of key brokerage transitions and customer allegations involving William Duffy, primarily related to unsuitable investment recommendations (per FINRA).
Founded WD Wealth Strategies.
Joined Emerson Equity as a financial broker.
Left Emerson Equity and joined Sharenett Securities.
Later joined Innovation Partners in the same year.
Departed from Sharenett Securities.
Left Innovation Partners.
Allegations emerge regarding unsuitable investment recommendations related to GWG L Bonds.
Legal actions and customer complaints are being investigated.
KlaymanToskes is a leading national investment loss law firm that represents the interests of investors throughout the world who have suffered losses due to broker misconduct, investment fraud, and securities violations.
The article linked below contain important information relating to the complaint against broker William Duffy:
If you suffered losses with broker William Duffy, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation.
The firm has helped recover over $600 million* for investors, and can help you determine if your loss is due to financial advisor misconduct, unsuitable investment advice, and/or other securities violations.
*Exclusive of attorneys fees and costs.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker William Duffy. These signs could potentially indicate misconduct, negligence, or investment fraud. Investors are encouraged to contact our firm immediately if you have experienced any of the following:
Some investors have close relationships with their brokers due to the time and trust built over the course of their investment relationship. However, it is crucial to remember that financial decisions should be based on careful analysis and due diligence rather than solely relying on personal relationships.
According to FINRA and the SEC, brokerage firms such as WD Wealth Strategies/Duffy Financial, Emerson Equity, Sharenett Securities, and Innovation Partners are responsible for the supervision of all of the activities of their registered financial advisors. Investors may be entitled to a financial recovery if their firm failed to supervise the representative managing their account, and/or if their financial advisor made unsuitable investment recommendations.
Engaging the services of an experienced securities attorney to evaluate your specific circumstances is strongly advised. At KlaymanToskes, our team of experienced securities attorneys has a deep understanding of this complex area of law, allowing us to provide invaluable insight and tailored guidance that directly addresses your individual needs.
If you suffered losses with broker William Duffy, or have concerns regarding your investment portfolio at WD Wealth Strategies/Duffy Financial, Emerson Equity, Sharenett Securities, and/or Innovation Partners contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation to discuss your recovery options.