Heath Shayne Bowen, of Idaho Falls, Idaho, a stockbroker currently registered with Allegis Investment Services, LLC, has been named in a customer initiated investment related arbitration claim on June 27, 2016, in which the customer requested $400,000.00 in damages based upon allegations that Bowen did not adequately supervise the customer’s investment portfolio, which resulted in the customer incurring investment losses.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Bowen has been identified in two customer initiated investment related disputes containing allegations of his wrongdoing while employed with Allegis Investment Advisors LLC. Specifically, on November 2, 2015, a customer filed an investment related arbitration claim involving his conduct, in which the customer requested $1,200,000.00 in damages based upon allegations that he effected transactions in the customer’s account that failed to conform to the customer’s tolerance for risk, experience with investing, and age.
Subsequently, on April 19, 2016, a customer filed an investment related arbitration claim regarding Bowen’s activities, where the customer requested $660,300.00 in damages based upon allegations that he effected options transactions in the customer’s account that were not suitable for the customer.
Guiliano Law Group
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