Robert Alden Cannon, of Issaquah, Washington, a stockbroker formerly registered with Pacific West Securities, Inc., has been named in a customer initiated investment related arbitration claim on December 16, 2014, in which the customer requested $175,000.00 in damages based upon allegations that Cannon negligently handled the customer’s investment account, committed violations of FINRA Rule 2111 and NASD Rule 2310, and violated the Washington Securities Act pertaining to tenant in common transactions.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Cannon has been identified in two additional customer initiated investment related disputes containing allegations of Cannon’s misconduct while employed with Pacific West Securities, Inc. Particularly, on July 22, 2014, a customer filed an investment related arbitration claim regarding Cannon’s activities based upon allegations that Cannon did not deal fairly and in good faith with the customer, breached his fiduciary duties, made omissions and misleading statements concerning investments, and committed fraud pertaining to transactions involving limited partnership interests, direct participation programs, tenant in common investments, and oil and gas investments.
Subsequently, on November 21, 2014, a customer filed an investment related arbitration claim involving Cannon’s conduct based upon allegations that Cannon breached his fiduciary and contractual duties, made misrepresentations and omissions to the customer, and defrauded the customer with respect to tenant in common and oil and gas investments.
Cannon’s registration with Pacific West Securities, Inc. ended on January 4, 2012. From January 4, 2012, to May 4, 2015, he has been registered with Centaurus Financial, Inc.
Guiliano Law Group
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