JOHN WILLIAM WHITAKER at TRADITION SECURITIES AND DERIVATIVES LLC – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)



CRD# 4325772

Disclosure #1 for JOHN WHITAKER

    • eventDate: 4/26/2019
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Pending
    • Disclosure Detail :: Allegations: Please refer to the 3rd amended class action complaint in [REDACTED v. Ryan R. Gilbertson, et al., Docket No. 1:16-cv-09727 (S.D.N.Y. Dec 16, 2016). Although Whitaker and Agency Trading Group Inc. are referenced in the 3rd amended complaint, neither were named as parties to the lawsuit.
    • Damage Amount Requested: $75,000.01
    • Arbitration Docket Number:
    • Broker Comment: The following is personal statement by the Registered Representative: Whitaker and Agency Trading Group Inc. (ATG) wholly deny any alleged wrongdoing and assert that the Lead Plaintiff’s allegations against them in the 3rd Amended Complaint are baseless, slanderous, and without any factual merit. This denial is supported by the fact that neither Whitaker nor ATG have ever been named as defendants in the lawsuit, have ever been deposed in connection with the lawsuit or otherwise called as witnesses, and are not being sought for damages by the Lead Plaintiff or any other party to the lawsuit. Here, it is noted that during the lead-up investigation to the criminal prosecution of the defendant Gilbertson, the US Justice Department, Securities and Exchange Commission, and Internal Revenue Service reviewed all trading in DAKP stock at ATG and identified no wrongdoing by ATG or Whitaker. Again, Whitaker and ATG assert that the 3rd Amended Complaint is baseless, slanderous, and without any factual merit.

Should I file a FINRA complaint against brokers like JOHN WILLIAM WHITAKER?

Many investors (presumably, like yourself) are unaware of the legal recourse available to them after losing money due to securities broker fraud and/or negligence. The truth is that investors who lost money in this fashion may actually be entitled to damages. You may suffer significant losses at the hands of your financial advisors’ misconduct, such as if they misrepresented or failed to disclose the risks associated with a particular investment, recommended frequent trades for the sole purpose of generating commissions, or used high-pressure tactics to make a sale. The rules and regulations of securities laws and FINRA policies are complex, and investment loss claims require an extensive understanding of securities arbitration to achieve the best possible results.

Update – 2022.11.15If you have suffered investment losses that may have been caused by JOHN WILLIAM WHITAKER’s negligence or fraud, contact a FINRA lawyer today. Most FINRA lawyers work on a contingency fee basis, meaning that you will not be charged for their services unless they successfully collect money for you. Kindly add a comment, or contact us directly if you have any query, or want to be contacted by a FINRA lawyer today! helps you make informed choices about brokers and brokerage firms and provides easy access to investment adviser information. Our database reports whether a person or firm is registered, as required by law, to sell securities (stocks, bonds, mutual funds, and more), offer investment advice, or both. We provide you with a snapshot of a broker’s employment history, regulatory actions, investment-related licensing information, arbitrations, and complaints, and allow users to share their experiences and reviews with these brokers and brokerage firms.

Frequently Asked Questions About JOHN WILLIAM WHITAKER

What is JOHN WHITAKER’s Central Registration Depository (CRD) Number?

Which firm is JOHN WILLIAM WHITAKER associated with?


Where is JOHN WHITAKER located?

1907 Wayzata Blvd East, Wayzata, MN, 55391

Where can I find more details about JOHN WHITAKER’s Investment Firm?

Visit to read a detailed report for TRADITION SECURITIES AND DERIVATIVES LLC

Are there any disclosures, allegations or complaints filed against JOHN WILLIAM WHITAKER?

Yes. There are disclosures, allegations, or complaints filed against JOHN WILLIAM WHITAKER. Click here to view all details

Where can I download a detailed FINRA report for JOHN WHITAKER?

Click here to download a detailed FINRA report for JOHN WHITAKER

Is it safe to do business with JOHN WILLIAM WHITAKER?

We’re not sure. Please research JOHN WHITAKER’s disclosures, allegations and complaints before taking a decision

Originally reported on November 15, 2022 @ 11:32 pm

The views and opinions expressed in these articles are those of the source and do not necessarily reflect the official position of ‘Skeptic Files’, which shall not be held liable for any inaccuracies presented. The information provided within this article is for general informational purposes only. While we try to keep the information up-to-date and correct, there are no representations or warranties, express or implied, about the completeness, accuracy, reliability, suitability or availability of the information in this article for any purpose.

This article is syndicated automatically through a third-party agency from

To view the original article at, you can visit




We will be happy to hear your thoughts

Leave a reply

The Skeptic Files
Register New Account