Herbert J. Sims & Co, Inc. Broker Alan Dalewitz Private Placement Loss Options

Herbert J. Sims & Co, Inc.

Erez Law is currently investigating Herbert J. Sims & Co, Inc. broker Alan Dalewitz (CRD# 1437051) regarding private placement losses. He has been registered with Herbert J. Sims & Co, Inc. in Red Bank, New Jersey, since 2006. 

Alan Dalewitz Customer Complaints

He has been the subject of one customer complaint, according to his CRD report:

December 2023. “Statement of claims alleges that investments were not in the best interest of the customer.” The customer is seeking $150,000 in damages, and the case is currently pending. The complaint was regarding private placement losses

Pursuant to FINRA Rules, member firms are responsible for supervising a broker’s activities during the time the broker is registered with the firm. Therefore, Herbert J. Sims & Co, Inc. may be liable for investment or other losses suffered by Alan Dalewitz’s customers.

Erez Law represents investors in the United States for claims against brokers and brokerage firms for wrongdoing. If you have experienced investment losses, please call us at 888-840-1571 or complete our contact form for a free consultation. Erez Law is a nationally recognized law firm representing individuals, trusts, corporations and institutions in claims against brokerage firms, banks and insurance companies on a contingency fee basis.

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Author: Jeffrey Erez

The founder of Erez Law, Jeffrey Erez, focuses exclusively on securities arbitration and litigation. Mr. Erez passionately believes in representing aggrieved investors and obtaining justice for his clients through litigation.