If a customer makes a complaint regarding a broker, it must be reported to the appropriate regulatory bodies, ensuring that a record of the dispute is available to the public.
Halling & Cayo, S.C. is evaluating legal claims involving this financial advisor's conduct. We encourage customers who believe they may have a cause of action related to these investment recommendations to reach out to our securities lawyers.
Claim(s) Made Against William Duffy:
Claim Date: 5/18/2026
“Breach of written contract, breach of fiduciary duty, negligence and gross negligence, misrepresentations and omissions, violation of FINRA rules, violation of the Virginia and Wisconsin Securities Acts and federal securities laws and violation of Best Interest Obligation (Reg BI), trade placed sometime in 2020”
This claim, as of this posting, is currently Pending with a claim amount of $400,000.00 .
Claim Date: 1/23/2025
“Violations of Federal Securities Laws, fraud in offer or sale of securities, fraud in connection with the purchase of sale of securities, Violations of California Securities Laws, unsuitable recommendations, misrepresentations and omissions of material fact, California Unfair, Unlawful and Fraudulent Business Practices, Violation of California‘s Financial Elder Abuse Law, Violation of Washington‘s Securities Act, Violation of Washington‘s Consumer Protection Act, Violation of the Colorado Securities Act, Violation of Colorado Consumer Protection Act, Breach of Contract, Common Law Fraud, Breach of Fiduciary Duty, Negligence and Gross Negligence, 12/2019”
This claim, as of this posting, is currently Settled.
The investor was paid $29,033.51 by the brokers’ firm.
Claim Date: 1/14/2026
“Violations of federal securities laws, Violations of the Colorado Securities Act, Violation of Colorado Consumer Protection Act, breach of contract, common law fraud, breach of fiduciary duty, negligence and gross negligence,”
This claim, as of this posting, is currently Pending with a claim amount of $50,000.00 .
