William George Fisher Connell II, of Livonia, Michigan, a stockbroker formerly registered with Wunderlich Securities, Inc., is the subject of a customer initiated investment related arbitration claim on February 14, 2017, in which the customer requested $100,000.00 in damages supported by allegations that Connell made misrepresentations to the customer, negligently handled the customer’s investment account, and breached his fiduciary duties concerning mutual funds.
Additionally, the customer alleged that while Connell was associated with Waddell & Reed, Inc., accounts were opened by him without the customer’s consent utilizing signatures that were unauthentic, where Connell omitted information concerning the customer’s investment accounts.
Connell’s registration with Wunderlich Securities, Inc. ended on May 17, 2016. Since then, he has been associated with Waddell & Reed.
Guiliano Law Group
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