RICHARD ALAN SKELTON at WOODBURY FINANCIAL SERVICES, INC. – View Complaints, Disclosures, Scams and Audit Report (Updated 2023)

CRD# 4782331
RICHARD ALAN SKELTON is an Investment Adviser, associated with WOODBURY FINANCIAL SERVICES, INC. located at SEAL BEACH, CA. RICHARD SKELTON’s Central Registration Depository (CRD) number is 4782331 and the FINRA Profile can be found at – https://brokercheck.finra.org/individual/summary/5134112.

Disclosure #1 for RICHARD SKELTON

    • Event Date: 6/10/2022
    • Disclosure Type: Customer Dispute
    • Disclosure Resolution: Pending
    • Disclosure Detail :: Allegations: The customer alleges that his investments were not in keeping with his investments objectives and risk tolerance, and that his portfolio was overly concentrated in alternative investments.
    • Damage Amount Requested: $5,000,000.00
    • Arbitration Docket Number:
    • Broker Comment: Customer is a highly sophisticated, aggressive investor with an extensive investment history. The claim is without merit.


Should I file a FINRA complaint against brokers like RICHARD ALAN SKELTON?

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 RICHARD ALAN SKELTON’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!

 
BrokerAudit.com 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 RICHARD ALAN SKELTON

What is RICHARD SKELTON's Central Registration Depository (CRD) Number?

4782331

Which firm is RICHARD ALAN SKELTON associated with?

WOODBURY FINANCIAL SERVICES, INC.

Where is RICHARD SKELTON located?

3030 OLD RANCH PARKWAY STE 160, SEAL BEACH, CA, 90740

Where can I find more details about RICHARD SKELTON's Investment Firm?

Visit https://brokercheck.finra.org/firm/summary/421 to read a detailed report for WOODBURY FINANCIAL SERVICES, INC.

Are there any disclosures, allegations or complaints filed against RICHARD ALAN SKELTON?

Yes. There are disclosures, allegations, or complaints filed against RICHARD ALAN SKELTON. Click here to view all details

Where can I download a detailed FINRA report for RICHARD SKELTON?

Click here to download a detailed FINRA report for RICHARD SKELTON

Is it safe to do business with RICHARD ALAN SKELTON?

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


Report Inaccuracy
Disclaimer

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.



 

Share your experience with this broker

Leave a reply

Broker Audit
Logo
Register New Account