NBC Securities, Inc. broker Evan Hershey (CRD# 3146598) regarding is accused of investment losses. He has been registered with Caldwell Sutter Capital, Inc. in Santa Rosa, California, since 2023. Previously, he was registered with NBC Securities, Inc. in Santa Rosa, California, from 2016 to 2023, and with Umpqua Investments, Inc. in Santa Rosa, California, from 2009 to 2016.
Evan Hershey Customer Complaints
He has been the subject of one customer complaint in 2023, according to his CRD report:
April 2023. “Claimant alleges representative failed to terminate defined benefit plans.” The customer is seeking $426,706 in damages, and the case is currently pending. The complaint took place while he was registered with NBC Securities, Inc.
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, NBC Securities, Inc. may be liable for investment or other losses suffered by Evan Hershey’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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