Wayde Christian Carter Walker, of New York, New York, a stockbroker currently registered with National Securities Corporation, has been named in a customer initiated investment related arbitration claim on December 28, 2015, in which the customer requested $513,218.40 in damages based upon allegations that Walker made misrepresentations to the customer concerning investments, breached his fiduciary duty, negligently handled the customer’s account, and effected trades without the customer’s prior authorization.
FINRA Public Disclosure reveals that Walker has been identified in six additional customer arbitrations regarding allegations of his misconduct. Particularly, on October 31, 2003, a customer was awarded $13,100.00 in damages according to an investment related arbitration claim concerning Walker’s actions, in which the customer alleged that Walker breached his fiduciary and contractual obligations, and failed to execute a customer’s order.
On April 13, 2005, a customer initiated investment related arbitration claim regarding Walker’s conduct was settled for $19,000.00 in damages based upon allegations that Walker effected unauthorized investment transactions in the customer’s account concerning shares of Apple, Inc. On January 31, 2008, another customer initiated investment related arbitration action involving Walker’s activities was resolved for $27,000.00 in damages based upon allegations that Carter churned the customer’s account, breached his fiduciary obligations, and negligently handled the customer’s account.
On June 18, 2008, another customer initiated investment related arbitration claim involving Walker’s conduct was settled for $42,000.00 in damages based upon allegations that Walker improperly utilized the customer’s margin account, and excessively traded the customer’s investments.
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
