Stephen Paul Haskell of Richmond, Virginia, a stockbroker registered with WealthForge Securities LLC, is the subject of a customer initiated investment related Financial Industry Regulatory Authority (FINRA) securities arbitration claim in which the customer requested $325,000.00 in damages based upon allegations that Haskell was negligent, provided unsuitable investment advice, and breached his fiduciary duties in connection with the sale of private placements during the time that Haskell was associated with WealthForge Securities LLC. FINRA Arbitration No. 23-03542 (December 14, 2023).
This is not the first time that Haskell has been referenced in a customer initiated investment related dispute concerning Haskell’s conduct in the securities industry. FINRA Public Disclosure shows that Haskell is also referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $50,000.00 in damages based upon allegations that Haskell was negligent, made omissions and misrepresentations of material fact, failed to conduct reasonable due diligence on private placements, breached his fiduciary duties, and breached a contract. FINRA Arbitration No. 23-01504 (December 18, 2023).
Haskell has been associated with FNEX Capital LLC in Indianapolis, Indiana since January 21, 2022.
