Sanjoy Dasgupta of Greenwood Village Colorado a stockbroker formerly registered with Cambridge Investment Research, Inc. is the subject of a customer initiated investment related written complaint on July 18, 2017 in which the customer requested $22,470.93 in damages supported by accusations that the customer’s assets were inappropriately concentrated in equity investments.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Dasgupta has been identified in five more customer initiated investment related disputes pertaining to allegations of Dasgupta’s violative conduct while employed with Cambridge Investment Research, Multi-Financial Securities Corporation and LPL Financial LLC. Specifically, on May 28, 2004, a customer filed an investment related complaint regarding Dasgupta’s activities where the customer sought $5,341.65 in damages based upon accusations of suitability concerning the customer’s variable annuity.
Then, on June 18, 2012, a customer filed an investment related complaint involving Dasgupta’s conduct in which the customer requested damages estimated to exceed $5,000.00 supported by allegations that Dasgupta managed the advisory accounts in an inappropriate manner, which caused the customer to sustain investment losses on mutual fund and equity products. Thereafter, on October 4, 2013, a customer filed an investment related complaint concerning Dasgupta’s activities where the customer sought $26,000.00 in damages founded on accusations of unsuitable annuity recommendations.
On July 18, 2017, another customer filed an investment related complaint regarding Dasgupta’s conduct in which the customer requested $35,824.00 in damages based upon allegations that the customers were improperly placed in an inflated tax bracket as a result of Dasgupta’s misconduct, causing undue tax liabilities. Moreover, on September 5, 2017, a customer filed an investment related complaint involving Dasgupta’s activities where the customer sought damages estimated to exceed $5,000.00 supported by accusations that Dasgupta failed to inform the customer about terms of an income stream generated through the customer’s variable annuity.
Dasgupta’s registration with Cambridge Investment Research has been terminated as of September 11, 2017.
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