Publicly available records provided by the Financial Industry Regulatory Authority (FINRA) and accessed on November 21, 2018 indicate that Texas-based Wells Fargo Clearing Services broker/adviser Robert Lyons has been involved in resolved or pending customer disputes. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Lyons (CRD# 2243975).
Robert Lyons has spent 26 years in the securities industry and has been registered with Wells Fargo Clearing Services in Houston, Texas since 2003. Previous registrations include Prudential Securities in New York, New York (2000-2003); Painewebber in Weehawken, New Jersey (2000); JC Bradford & Company in New York, New York (1997-2000); and Rauscher Pierce Refsnes in Dallas, Texas (1992-1997). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on November 15, 1999; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on July 23, 1992; SIE (Securities Industry Essentials Examination), which he obtained on October 1, 2018; and Series 7 (General Securities Representative Examination), which he obtained on July 20, 1992. He is a registered broker and investment adviser with 18 US states and territories: Arizona, California, Colorado, Florida, Hawaii, Illinois, Kansas, Michigan, Minnesota, Mississippi, New Jersey, New York, Oklahoma, Tennessee, Texas, Utah, Virginia, and Washington. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.
According to his BrokerCheck report, he has received one customer complaint and one pending customer complaint.
In October 2018 a customer alleged Robert Lyons, while employed at Wells Fargo Clearing Services, made unsuitable purchases of certain energy positions between 2010 and 2015. The customer is seeking at least $93,841 in damages in the pending complaint.
In 1998 a customer alleged Robert Lyons, while employed at JC Bradford & Company, failed to follow instructions and executed unauthorized trades. The complaint settled in 1999 for $1,603.
If you or someone you know has a complaint regarding Robert Lyons, call Fitapelli Kurta at 877-238-4175 for a free consultation. You may be eligible to recoup lost funds. Fitapelli Kurta accepts every case on contingency: we only get paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.