{"id":4954,"date":"2017-09-05T18:11:39","date_gmt":"2017-09-05T22:11:39","guid":{"rendered":"http:\/\/silverlaw.lawblogger.net\/blog\/?p=4954"},"modified":"2017-09-15T18:47:19","modified_gmt":"2017-09-15T22:47:19","slug":"silver-law-group-investigating-former-memphis-tennessee-based-wunderlich-securities-inc-broker-david-k-mallett-allegations-mallett-excessively-traded-customers-accounts-mad","status":"publish","type":"post","link":"https:\/\/www.silverlaw.com\/blog\/silver-law-group-investigating-former-memphis-tennessee-based-wunderlich-securities-inc-broker-david-k-mallett-allegations-mallett-excessively-traded-customers-accounts-mad\/","title":{"rendered":"Silver Law Group is investigating former Memphis, Tennessee -based Wunderlich Securities Inc broker David K Mallett over allegations that Mallett excessively traded customers\u2019 accounts and made unsuitable recommendations."},"content":{"rendered":"<p>Silver Law Group is investigating former Memphis, Tennessee-based Wunderlich Securities Inc.\u00a0<a href=\"https:\/\/brokercheck.finra.org\/firm\/summary\/2543\" target=\"_blank\">(CRD#2543<\/a>) broker David K. Mallett (<a href=\"https:\/\/brokercheck.finra.org\/individual\/summary\/5145838\" target=\"_blank\">CRD#5145838<\/a>) over allegations that Mallett excessively traded customers\u2019 accounts and made unsuitable recommendations.<\/p>\n<p>According to Mallett\u2019s FINRA BrokerCheck report, a customer filed a complaint in October of 2016 against Mallett alleging churning in the customer\u2019s account and further that he made unsuitable recommendations.\u00a0 Further, the customer alleges that Mallett\u2019s employing firm, Wunderlich Securities (CRD#2543), failed to supervise Mallett.<\/p>\n<p>Wunderlich has employed Mallett from June 2016 to present day at its Memphis.<\/p>\n<div class=\"read_more_link\"><a href=\"https:\/\/www.silverlaw.com\/blog\/silver-law-group-investigating-former-memphis-tennessee-based-wunderlich-securities-inc-broker-david-k-mallett-allegations-mallett-excessively-traded-customers-accounts-mad\/\"  title=\"Continue Reading Silver Law Group is investigating former Memphis, Tennessee -based Wunderlich Securities Inc broker David K Mallett over allegations that Mallett excessively traded customers\u2019 accounts and made unsuitable recommendations.\" class=\"more-link\">Continue reading \u203a<\/a><\/div>\n","protected":false},"excerpt":{"rendered":"<p>Silver Law Group is investigating former Memphis, Tennessee-based Wunderlich Securities Inc.\u00a0(CRD#2543) broker David K. Mallett (CRD#5145838) over allegations that Mallett excessively traded customers\u2019 accounts and made unsuitable recommendations. According to Mallett\u2019s FINRA BrokerCheck report, a customer filed a complaint in October of 2016 against Mallett alleging churning in the customer\u2019s account and further that he [&hellip;]<\/p>\n","protected":false},"author":2,"featured_media":0,"comment_status":"closed","ping_status":"closed","sticky":false,"template":"","format":"standard","meta":{"footnotes":""},"categories":[578,576],"tags":[209,280,251],"class_list":["post-4954","post","type-post","status-publish","format-standard","hentry","category-all-releases","category-unsuitable-investment-advice","tag-unsuitability","tag-unsuitable-investment-advice","tag-unsuitable-recommendations"],"yoast_head":"<!-- This site is optimized with the Yoast SEO plugin v25.7 - https:\/\/yoast.com\/wordpress\/plugins\/seo\/ -->\n<title>Silver Law Group is investigating former Memphis, Tennessee -based Wunderlich Securities Inc broker David K Mallett over allegations that Mallett excessively traded customers\u2019 accounts and made unsuitable recommendations. &#8212; Securities Arbitration Lawyers Blog &#8212; September 5, 2017<\/title>\n<meta name=\"description\" content=\"Silver Law Group is investigating former Memphis, Tennessee-based Wunderlich Securities Inc.\u00a0(CRD#2543) broker David K. Mallett (CRD#5145838) over &#8212; September 5, 2017\" \/>\n<meta name=\"robots\" content=\"index, follow, max-snippet:-1, max-image-preview:large, max-video-preview:-1\" \/>\n<link rel=\"canonical\" href=\"https:\/\/www.silverlaw.com\/blog\/silver-law-group-investigating-former-memphis-tennessee-based-wunderlich-securities-inc-broker-david-k-mallett-allegations-mallett-excessively-traded-customers-accounts-mad\/\" \/>\n<meta name=\"twitter:card\" content=\"summary_large_image\" \/>\n<meta name=\"twitter:title\" content=\"Silver Law Group is investigating former Memphis, Tennessee -based Wunderlich Securities Inc broker David K Mallett over allegations that Mallett excessively traded customers\u2019 accounts and made unsuitable recommendations. &#8212; Securities Arbitration Lawyers Blog &#8212; September 5, 2017\" \/>\n<meta name=\"twitter:description\" content=\"Silver Law Group is investigating former Memphis, Tennessee-based Wunderlich Securities Inc.\u00a0(CRD#2543) broker David K. Mallett (CRD#5145838) over &#8212; September 5, 2017\" \/>\n<meta name=\"twitter:label1\" content=\"Written by\" \/>\n\t<meta name=\"twitter:data1\" content=\"Silver Law Group\" \/>\n\t<meta name=\"twitter:label2\" content=\"Est. reading time\" \/>\n\t<meta name=\"twitter:data2\" content=\"2 minutes\" \/>\n<!-- \/ Yoast SEO plugin. -->","yoast_head_json":{"title":"Silver Law Group is investigating former Memphis, Tennessee -based Wunderlich Securities Inc broker David K Mallett over allegations that Mallett excessively traded customers\u2019 accounts and made unsuitable recommendations. &#8212; Securities Arbitration Lawyers Blog &#8212; September 5, 2017","description":"Silver Law Group is investigating former Memphis, Tennessee-based Wunderlich Securities Inc.\u00a0(CRD#2543) broker David K. 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