Richard H. Westerman (Dick Westerman) – Customer Disputes Filed Involving Financial Advisor/Broker Dick Westerman | Goodman & Nekvasil P.A. May Recover Investor Losses
Dick Westerman was a previously licensed financial advisor/broker with Northwest Investment Advisors, Inc.
According to Dick Westerman’s BrokerCheck report, customer disputes have been filed alleging sales practice violations against Dick Westerman.
Customer Dispute 6/15/19: Client has brought complaint against supervisor, the firm, and registered representative. The allegations are for unsuitable investment recommendations. The specific account activity occurred between January 2015 and March 2019 when the clients called to sell all holdings with the exception of their municipal bond. This customer dispute settled for $73,000.
Customer Dispute 5/7/19: Client has brought complaint against supervisor, the firm, and registered representative. The allegations are for unsuitable investment recommendations. The specific account activity occurred between mid 2014 and January 2017 when the accounts were closed and transferred. This customer dispute was settled for $150,000.
Goodman & Nekvasil, P.A. May Recover Investor Losses
If you lost any money on investments with Dick Westerman, you may be able to recover your losses. If you lost money on investments with Dick Westerman and believe that the investments may have been unsuitable or otherwise improper for you, we would like to discuss the possibility of your retaining our firm to represent you in an arbitration action concerning Dick Westerman’s conduct. There is no charge for an evaluation of your case. Further, we handle our cases on a contingency fee basis. This means that unless we recover money for you, we charge no attorney’s fee.
Goodman & Nekvasil, P.A. has recovered more than $180 million on behalf of victimized investors. If you lost money on investments with Dick Westerman and would like your case evaluated by a securities attorney (again, there is no charge for an evaluation and all cases are handled on a purely contingency fee basis), please contact us.
Some of the information in this blog post was obtained on 7/14/2020 directly from FINRA BrokerCheck, without any changes. If you believe this information was reported incorrectly, please contact our firm at 1-800-500-4442.