Eric Alexander Duncan, of Denver, Colorado, a stockbroker registered with Moloney Securities Co. Inc., is the subject of a customer initiated investment related FINRA securities arbitration claim in which the customer requested $196,000.00 in damages based upon allegations that Duncan was negligent and engaged in unsuitable recommendations in direct investments and corporate bonds when Duncan was associated with Moloney Securities Co. Inc. Financial Industry Regulatory Authority (FINRA) Arbitration No. 23-02311 (August 23, 2023).
This is not the first time that Duncan has been referenced in a customer initiated investment related dispute concerning Duncan’s conduct in the securities industry. Financial Industry Regulatory Authority (FINRA) Public Disclosure shows that Duncan was also referenced in a customer initiated investment related FINRA securities arbitration claim that was settled for $382,500.00 in damages based upon allegations that Duncan engaged in unsuitable trading and was negligent in connection with the sale of corporate bonds when Duncan was associated with Moloney Securities Co. Inc. FINRA Arbitration No. 22-00999 (Settled on August 3, 2023).
On July 28, 2023, a different customer initiated investment related FINRA securities arbitration claim involving Duncan’s conduct was settled for $70,000.00 in damages based upon alleged negligence and unsuitable recommendations in corporate bonds. FINRA Arbitration No. 22-01960.
Duncan has been associated with Moloney Securities Co. Inc. in Denver, Colorado since April 20, 2004, as a stockbroker. He has also been registered with Moloney Securities Asset Management LLC in Denver, Colorado since February 23, 2016, as an investment advisor representative.
