The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims regarding unsuitable recommendations. According to public records, a claimant alleges that Anthony Baker Liddle made an unsuitable recommendation and misrepresentations on behalf of his client.
Anthony Baker Liddle (“Tony Liddle”), an Oshkosh, Wisconsin based Broker and Registered Investment Advisor, is currently under investigation by the Wisconsin Department of Financial Institutions (“WDFI”). According to FINRA’s Brokercheck database, Mr. Liddle was registered with Landolt Securities, Inc. (“Landolt Securities”) at the time that a Complaint was filed against Mr. Liddle with the WDFI.
As of 5/23/22, Mr. Liddle was permitted to resign at Landolt Securities for failing to purchase an investment on behalf of a Client after Client funds had been received from the Client to purchase an investment.
If you were a customer of Mr. Liddle, you may have a claim against Landolt Securities to recover the funds that were lost due to Mr. Liddle’s actions.
Update as of 7/7/2022.
The Financial Industry Regulatory Authority (“FINRA”) recently barred ex-Landolt Securities advisor Tony Liddle (CRD# 5478479). According to a Letter of Acceptance, Waiver and Consent (No. 2021071099401) issued by FINRA on June 14, 2022, FINRA initiated an inquiry into Tony Liddle’s activities after learning in May 2022 that he “allegedly borrowed more than $1.8 million from at least 13 of his customers” while a representative of Landolt Securities (Oshkosh, Wisconsin; 2020-2022). FINRA has barred Mr. Liddle from associating with any FINRA member firm in any capacity. Mr. Liddle was also sanctioned by Wisconsin securities authorities in May 2022, ordering him to cease and desist and indefinitely barring his registration.
The Securities Lawyers at Halling & Cayo, S.C. have initiated an arbitration action with FINRA against Landolt Securities to recover losses suffered by an investor that Mr. Liddle “borrowed” funds from while Mr. Liddle was an associated person (registered representative) at Landolt Securities. Because Mr. Liddle was a registered representative with Landolt Securities, Landolt Securities was responsible for supervising Mr. Liddle. If you were investing with Mr. Liddle and suffered losses due to Mr. Liddle’s actions, you may be entitled to file a claim to recover your losses.
Seth Hill is an attorney at Halling and Cayo, a full service law firm in Milwaukee, WI and part of its Securities Litigation team.
He focuses his practice on creditor’s rights, collections, business law, insurance defense, and business and commercial litigation.