Richard Allen Yantis of Cedar Falls Iowa a stockbroker formerly employed by Cambridge Investment Research Inc. is the subject of a customer initiated investment related written complaint on April 19, 2018 in which the customer sought $142,000.00 in damages supported by allegations that Yantis (1) employed deceptive and manipulative tactics to induce the customer’s alternative investment purchases including equipment leasing products (2) made omissions and misrepresentations pertaining to the risks of securities and (3) breached his fiduciary obligations to the customer.
FINRA Public Disclosure additionally reveals that on April 12, 2018, a customer filed an investment related complaint concerning Yantis’ activities where the customer requested $142,277.79 in damages based upon accusations of the non-disclosure of facts pertaining to the customer’s investment in real estate security products.
Yantis’ registration with Cambridge Investment Research Inc. has been terminated as of July 29, 2016. Since July 15, 2016, he has been registered with United Planners’ Financial Services of America.
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