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Investor Alleges William Tremont Modified Accounts Without Consent

William Tremont (CRD #: 4069639), a broker registered with RBC Capital Markets, was the subject of an investor dispute, according to his BrokerCheck record, accessed on May 29, 2025. If you want to know more about his alleged conduct as a broker, keep reading.

Investor Dispute

On February 20, 2025, an investor alleged that William Tremont modified his accounts without his consent. This dispute was denied by the firm.

Investors should be aware, however, that firms can deny disputes without allowing an outside review. You can still recover damages following a denial and you may want to pursue FINRA arbitration.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

William Tremont has passed the following exams:

  • Securities Industry Essentials Examination – SIE
  • General Securities Representative Examination – Series 7
  • Uniform Combined State Law Examination – Series 66

William Tremont is a registered broker in 34 states and the District of Columbia. He is also a registered investment adviser in New York and Texas.

He has also worked for Tucker Anthony (CRD#:837) and UBS PaineWebber (CRD#:8174).

Kurta Law Can Help

If you worked with William Tremont and you have concerns about your investments, please contact us today at 877-600-0098 or info@kurtalawfirm.com for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm that exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf. 

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