The Securities Lawyers at Halling & Cayo, S.C. are looking into potential claims against William John Horan (CRD#1212086) regarding allegations made regarding the following:

Claim(s) Made Against William John Horan:

Claim Date: 3/3/2020

“Client alleges purchases in Waitr Holdings (WTHR) were unsuitable, and as a result of the June 12, 2018 and October 2, 2018 purchases she has an unrealized loss of $10,000.00. Client additionally alleges the fee she agreed upon in her signed contract (1.25%) was more than discussed (1.00%)”

This claim, as of this posting, is currently Settled with a claim amount of $13,160.68 .

The investor was paid $13,160.68 by the brokers’ firm.

See more information on FINRA’s BrokerCheck site for William John Horan.

Were you a customer of William John Horan?

We are currently considering bringing claims on behalf of individual investors or groups of investors who have lost funds. Many customers have signed FINRA arbitration agreements that outline the process for resolving disputes, including claims for investment loss recovery. As the SEC advises, it is important to find an attorney who has experience handling securities complaints. If you were a customer of William John Horan and AMERIPRISE FINANCIAL SERVICES, LLC and experienced investment losses, please get in touch with the Securities Lawyers. We only receive payment if we can recover your money. Please note that there may be time limits or statutes of limitations that apply to your claim, so it is important to contact an attorney as soon as possible.

If you were a client of William John Horan and AMERIPRISE FINANCIAL SERVICES, LLC from RICHMOND, VA, and experienced any issues or problems, the Securities Lawyers at Halling & Cayo, S.C. are interested in discussing the possibility of a claim with you. Brokerage firms have the responsibility to oversee all representatives who are registered with their firm, including William John Horan, and must ensure that they adhere to all securities rules, regulations, and internal policies. If a brokerage firm fails to do so, it may be held responsible for investment losses sustained by customers due to a lack of supervision.

Contact The Securities Lawyers


Sean M. Sweeney is a shareholder at Halling and Cayo, a full service law firm in Milwaukee, WI and the head of its Securities Litigation team.

He represents individual and institutional investors in FINRA arbitration and court nationwide. He recovers investment losses from fraud or breach of duty from their broker-dealer.

Contact him at (414) 755-5020 or via e-mail at SMS@hallingcayo.com to see if he can help recover your funds.