Harbour Investments based out of Madison, Wisconsin has been the subject of regulatory sanctions and customer complaints including:
- Ordered by the SEC to cease and desist certain activities and charges to its benefit based on a conflict of interest and failure to seek best execution for its clients. Ordered to disgorge $157,327 and fined $75,000
- Harbour Investments via bonds from Ohio Casaulty paid out more than $1.3 million from 2015-2019 related to its registered representative, Mark Holt, and misappropriation of Harbour Investments client funds.
- Settled a dispute with a customer for allegations of unsuitable investments being recommended as well as had one of its brokers suspended by the Wisconsin Department of Financial Institutions for “unsuitable recommendation of high concentration of equities in portfolio of elderly woman.”
- A customer dispute involving an alleged failure to inform the client “of surrender charges involved with the annuity.”
- A customer dispute involving unsuitable replacement of one annuity with another, known in the industry as “twisting” an annuity. This practice of “twisting” is often problematic as it is done to generate commissions for the broker at the expense of the client.
If you are a customer of Harbour Investments and have suffered losses in your account as a result of misconduct by Harbour Investments or its brokers, you may have a claim to recover your losses. You can learn more about Investment Claims here. We are based out of Milwaukee, Wisconsin but can and have represented investors around the country to recover their lost investment funds.
“WE ONLY GET PAID IF WE WIN.
THE SECURITIES LAWYERS
Our fee is a percentage of what we actually recover for you. There is no upfront fee.”
Your Claim For Recovery
Your broker has a duty to only recommend investments that are appropriate for you. This is known in the industry as “suitability.” If your broker recommends investments that are not appropriate for you and you lose money as a result, you may have a claim to recover your losses.
Our Fees
For any client with a potential securities claim, we will provide:
- Free consultation to discuss and review your claim.
- An explanation of the time, commitment, and process for FINRA arbitration (the most common forum for these claims).
- WE ONLY GET PAID IF WE WIN. Our fee is a percentage of what we actually recover for you. There is no upfront fee.
We understand that by the time you realize what has happened in your account, the last thing you want to do is throw more money at a lawyer trying to recover what was lost. That is why we work on a contingent fee basis for these claims. This aligns our interests with yours, which is to resolve the matter as quickly as possible for as large of a recovery as possible.
“Atty. Sean Sweeney exhibited a youthful, energetic commitment to my position that was combined with a confident extremely competent grasp of the law in this area. I could not have come up with a better team of advocates at a time when they were needed the most.”
— JIM T.