National investment loss lawyers KlaymanToskes is investigating broker Scott Mason (CRD# 3207386) of LPL Financial, Western Wealth Management, and Voya Financial Advisors, who has been barred from acting as a broker by the Financial Industry Regulatory Authority (“FINRA”), following allegations that he failed to respond to FINRA’s request for information in connection with findings that he borrowed a total of $108,360 from his member firm’s customer without providing prior notice to, and receiving written approval from the firm, and he modified the loan terms of a promissory note, of one of the loans, without notifying the firm.
According to FINRA BrokerCheck, broker Scott Mason was previously registered with LPL Financial from 2013 to October 27, 2017, when LPL filed a Uniform Termination Notice for Securities Industry Registration (“Form U5”) disclosing that Mason had been terminated from the firm following allegations of borrowing money from a client and being a joint owner on client bank account, in violation of Firm policy.
Mason was registered with Western Wealth Management from September 2016 to November 2017 in Greenwood Village, CO. Scott Mason was employed as a broker with Voya Financial Advisors from August 2018 to November 2018 in Lakewood, CO.
Investors that suffered losses with broker Scott Mason are encouraged to contact attorney Lawrence L. Klayman, Esq., at 888-997-9956 or by email at investigations@klaymantoskes.com to discuss recovery options. We do not collect attorney’s fees unless we are able to obtain a financial recovery for you.
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 contains important information relating to the complaint against broker Scott Mason:
If you suffered losses with broker Scott Mason, 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 (exclusive of attorneys fees and costs) for investors, and can help you determine if your loss is due to financial advisor misconduct, unsuitable investment advice, and/or other securities violations.
As an investor, there are a few signs that you should look out for if you believe you may have a claim against broker Scott Mason. These signs could potentially indicate broker misconduct, negligence, or investment fraud. Investors are encourage 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, investment firms such as LPL Financial, Western Wealth Management, and Voya Financial Advisors are responsible for the supervision of all of the activities of their registered brokers and investment advisors. Investors may be entitled to a financial recovery if their brokerage firm failed to supervise the representative managing their brokerage account, and/or if their broker/advisor made unsuitable investment recommendations.
Engaging the services of an experienced securities attorney to evaluate the specific circumstances of your case 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 Scott Mason or have concerns regarding your investment portfolio at LPL Financial, Western Wealth Management, and/or Voya Financial Advisors, contact KlaymanToskes at 888-997-9956 or fill out a short contact form for a free and confidential consultation to discuss recovery options.