Samuel D. Wyman, Jr., of Westhampton Beach, New York, a stockbroker with Gilford Securities Incorporated, is subject to a pending customer dispute from August 14, 2015, in which the customer requested $175,000.00 in damages after alleging that Wyman made unsuitable investment recommendations.
FINRA Public Disclosure records reveal that Wyman has been previously subject to customer disputes. Particularly, on January 31, 2012, Wyman became subject to a customer dispute in which the customer alleged that Wyman did not conduct proper due diligence regarding a private placement investment. Wyman settled a customer dispute on November 11, 2002, for $2,570.48 in damages after he was alleged by the customer to have effected unsuitable trades in the customer’s investment accounts, and traded in the customer’s margin account without requisite authorization.
On December 10, 2002, Wyman was terminated from his former firm, Advest, Inc., amid allegations that Wyman did not follow the firm’s procedures concerning trading with authority, and inappropriately handled retail investment accounts.
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