Anthony Baker Liddle (also known as Tony Liddle) of Wausau, Wisconsin, a stockbroker registered with Western International Securities Inc., is the subject of a customer initiated investment related FINRA securities arbitration filed on August 26, 2022 seeking $1,755,189.31 in damages based upon allegations that Liddle stole or converted the customer’s funds during Liddle’s association with Western International Securities Inc.
Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Liddle is referenced in eight (8) other customer initiated investment related disputes concerning Liddle’s conduct while associated with securities broker dealers, including Landolt Securities Inc. On July 1, 2022, a customer filed an investment related complaint involving Liddle’s conduct in which the customer requested seeking $125,000 in damages based upon allegations that Liddle also stole that customer’s funds when Liddle was associated with Landolt Securities Inc.
On July 7, 2022, a customer filed an investment related FINRA securities arbitration claim involving Liddle’s conduct in which the customer requested $498,000.00 in damages based upon allegations that Liddle engaged in fraud in connection with the sale of promissory notes from Liddle when he was associated with Landolt Securities Inc. FINRA Arbitration No. 22-01529.
On July 14, 2022, another customer filed an investment related complaint involving Liddle’s conduct in which the customer requested $125,000.00 in damages based upon allegations that Liddle converted the customer’s funds in connection with the recommendation and sale of variable annuities and promissory notes when Liddle was associated with Landolt Securities Inc.
FINRA Public Disclosure shows that Liddle has been barred as a stockbroker in Wisconsin based upon allegations that Liddle made omissions. Case No. 244949 (June 9, 2022). FINRA Public Disclosure also shows that Liddle has been barred from associating with any FINRA member in any capacity based upon allegations that Liddle failed to provide information and documents to FINRA when it investigated possible violations of FINRA rules. FINRA Enforcement (AWC) Case No. 2021071099401 (June 14, 2022).
According to the AWC, in May 2022, FINRA discovered that Liddle had allegedly borrowed over $1.8 million from 13 of his customers during the time that he was associated with Western International Securities and Landlot Securities. FINRA then began a cause investigation into Liddle based on those accusations. On June 2, 2022, FINRA sent Liddle a request for the production of documents and information and for testimony. Through his counsel on June 9, 2022, Liddle indicated that he had received FINRA’s request but would not appear for testimony or produce the requested documents and information at any time. As a result, Liddle violated FINRA Rules 2010 and 8210.
Landolt Securities Inc. terminated Liddle’s registration based upon allegations that Liddle engaged in unauthorized activities.
Anthony Liddle was associated with Landolt Securities Inc. from April 27, 2020 to May 27, 2022.
