RedFlag, Allegation and/or Complaint against RANDOLPH RILEY ROARK
Disclosure #1 for RANDOLPH ROARK
- Event Date: 7/2/2015
- Disclosure Type: Customer Dispute
- Disclosure Resolution: Closed-No Action
- Disclosure Detail :: Allegations: CLIENT ALLEGES MR. ROARK FAILED TO FOLLOW INSTRUCTIONS DURING THE IMPLEMENTATION OF THE CLIENT’S INVESTMENT PLAN LEADING TO LOST INVESTMENT GAINS. CLIENT HAD AN EXPECTATION THAT HIS INVESTMENT PLAN WOULD BE IMPLEMENTED ONCE THE ASSETS ARRIVED VIA TRANSFER.
- Damage Amount Requested: $60,000.00
- Arbitration Docket Number:
- Broker Comment: THE ADVISOR HAD PREPARED AND REVIEWED A PRELIMINARY VERSION OF AN INVESTMENT PLAN WITH THE CLIENT PRIOR TO THE ASSETS ARRIVING VIA TRANSFER. THE FINAL VERSION OF THE PLAN HAD NOT YET BEEN AGREED TO, AS A RESULT THE ADVISOR COULD NOT IMPLEMENT THE PLAN WITHOUT THE CLIENT’S AUTHORIZATION.
Should I file a FINRA complaint against brokers like RANDOLPH RILEY ROARK?
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.
Frequently Asked Questions About RANDOLPH RILEY ROARK
What is RANDOLPH ROARK's Central Registration Depository (CRD) Number?
Which firm is RANDOLPH RILEY ROARK associated with?
Where is RANDOLPH ROARK located?
Where can I find more details about RANDOLPH ROARK's Investment Firm?
Are there any disclosures, allegations or complaints filed against RANDOLPH RILEY ROARK?
Where can I download a detailed FINRA report for RANDOLPH ROARK?
Is it safe to do business with RANDOLPH RILEY ROARK?
All information displayed on this page is publicly available information under SEC guidelines, in compliance with 5 U.S.C. § 552 (Freedom of Information Act) and 5 U.S.C. § 552a (the Privacy Act) and is published unmodified, as provided by FINRA. BrokerAudit.com does not modify the data and makes no claims regarding its accuracy, nor will entertain any request to remove any entry. The inclusion of a person or entity in the BrokerAudit Database is not intended to suggest or imply that they have engaged in illegal or improper conduct related to FINRA. BrokerAudit.com intends to offer a platform where suspicious activities can be shared and discussed in a secure environment.
Originally reported on November 17, 2022 @ 9:32 pm