Stuart Bryan Haw, of Bradenton, Florida, a stockbroker registered with Investors Capital Corporation, was the subject of a customer initiated investment related FINRA securities arbitration claim that was settled for $39,000.00 in damages based upon allegations that Haw made unsuitable recommendations, breached his fiduciary duties, made misrepresentations and omissions of material fact, and violated FINRA rules in connection with the sale of direct investments when Haw was registered with Investors Capital Corporation. Financial Industry Regulatory Authority (FINRA) Arbitration No. 20-00959 (February 26, 2021).
Public Disclosure shows that on November 29, 2001, another Investors Capital Corporation customer filed an investment related complaint involving Haw’s conduct in which the customer requested compensatory damages based upon allegations that Haw was negligent in connection with the recommendation and sale of fixed annuities. The securities broker dealer closed out the complaint without a resolution.
Haw was registered with Investors Capital Corporation as a stockbroker between September 26, 1997, and October 3, 2016. He has been registered with Cetera Advisors LLC as a stockbroker since September 14, 2016, and registered with Cetera Advisors LLC as an investment advisor representative since September 15, 2016.
