suitcase with money flying out

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.

The information contained herein has been obtained from reliable sources however may not be accurate and is not guaranteed by us. Readers are encouraged to undertake their own independent investigation and evaluation of the relevant facts. All claims and allegations are subject to adjudication, decisions may be subject to appeal, and no inference is intended, nor should any inference be made from any information contained herein from any source.

This posting and the information on our website is for general information purposes only. This content should be not considered legal advice, and any responses, comments, e-mails, other communications do not form any attorney client relationship. Attorney Advertisement. See Important Disclaimer

Guiliano Law Group

Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.

For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com

To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com