Jeffrey Alan Fladell, of West Palm Beach, Florida, a stockbroker currently registered with RBC Capital Markets LLC, has been named in a customer initiated investment related arbitration claim on April 7, 2016, wherein the customer requested more than $5,000.00 in damages based upon allegations that Fladell made unsuitable municipal debt investment recommendations to the customer.
Financial Industry Regulatory Authority (FINRA) Public Disclosure confirms that Fladell has been named in eight other customer initiated investment related disputes regarding allegations of his wrongdoing while he was associated with RBC Capital Markets, LLC, J.B. Hanauer & Co., and Halbert Oberset & Company. Particularly, on February 5, 2017, a customer initiated investment related written complaint involving Fladell’s conduct was settled for $110,000.00 in damages based upon allegations that he effected unsuitable bond transactions in the customer’s account.
Fladell subsequently settled two customer initiated disputes between March 10, 2015, and April 6, 2016, for a total of $340,000.00 in damages based upon allegations against Fladell of unsuitability and over-concentration of customers’ assets. Moreover, on February 6, 2016, a customer initiated investment related arbitration claim regarding Fladell’s activities was resolved for $500,000.00 in damages founded upon allegations that Fladell, inter alia, churned the customer’s investment portfolio.
Guiliano Law Group
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