Tag Archives: Capital One Investing LLC

Investors Accuse Capital One Of Providing Bad Investment Advice

April 08, 2020  |   Posted by :   |   Securities Arbitration Claims, Unsuitable Investment Recommendations   |   Comments Off on Investors Accuse Capital One Of Providing Bad Investment Advice

Scott Allen Damico of Irving Texas a stockbroker registered with Capital One Investing LLC is the subject of a customer initiated investment related complaint on January 30, 2019 where the customer sought no less than $5,000.00 in damages based upon accusations that the customer was steered by Damico towards purchasing an investment that failed to […]

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Investors Accuse Capital One Of Misconduct In Connection With Bond Sales

Anthony N. Macaluso of Floral Park New York a stockbroker formerly employed by Capital One Investing LLC is referenced in a customer initiated investment related written complaint on January 4, 2017 in which the customer requested unspecified damages supported by accusations that the customer’s managed wrap account held investments that were not suitable for the […]

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Capital One Accused Of Providing Bad Investment Advice

September 28, 2018  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

Ion Valentin Cangea of New York New York a stockbroker formerly employed by Capital One Investing LLC is referenced in a customer initiated investment related written complaint on January 11, 2017 where the customer requested unspecified damages founded on allegations that the customer’s fixed annuity purchase was unsuitable given the customer’s age when the annuity […]

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Investors Accuse Capital One Of Lying

September 12, 2018  |   Posted by :   |   Investment and Regulatory News, Securities Arbitration Claims   |   0 Comments

Scott Allen Damico of Garland Texas a stockbroker formerly registered with Capital One Investing is the subject of a customer initiated investment related written complaint which was resolved for $24,598.47 on March 13, 2017 supported by accusations that Damico was provided inaccurate information concerning her managed account investment. Financial Industry Regulatory Authority (FINRA) Public Disclosure […]

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Customer Accuses Capital One Investing Of Unsuitably

Linda Lee Ledzian of Merrick New York is a stockbroker formerly employed with Capital One Investing LLC who is the subject of a customer initiated investment related written complaint on March 20 2017 where the customer sought twelve thousand three hundred dollars in damages based upon allegations that a certificate of deposit investment was not […]

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Capital One Investing In Customer Arbitration Over Suitability

May 05, 2017  |   Posted by :   |   Investment and Regulatory News, Variable Annuites   |   0 Comments

Scott Andrew Valentine, a stockbroker formerly registered with Capital One Investing, LLC, has been named in a customer initiated investment related written complaint on March 27, 2017, in which the customer requested damages estimated to exceed $5,000.00 based upon allegations that Valentine effected the unsuitable purchase of the customer’s variable annuity. Valentine’s registration with Capital […]

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Capital One Investing LLC Censured For Failure to Supervise

January 03, 2017  |   Posted by :   |   Failure To Supervise   |   0 Comments

Capital One Investing, LLC, a broker-dealer headquartered in Seattle, Washington, was censured and fined $500,000.00 by Financial Industry Regulatory Authority (FINRA) based upon consenting to findings that the firm, inter alia, did not provide customers with required notifications pertaining to suitability determinations, and failed to supervise distributions of required notices to customers. Letter of Acceptance, […]

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