Tag Archives: Money Concepts Capital Corp

Investors Sue Money Concepts Capital Corp For Fraud

July 20, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Non-traded REITs, Securities Arbitration Claims, Securities Fraud   |   Comments Off on Investors Sue Money Concepts Capital Corp For Fraud

Dustin Paul Shafer of Springfield Illinois a stockbroker formerly registered with Money Concepts Capital Corp is the subject of a customer initiated investment related arbitration claim in which the customer requested unspecified damages based upon allegations that securities laws of the State of Illinois were violated in regard to Shafer’s securities transactions and that the […]

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Investors File Claim Against Money Concepts For Breach Of Fiduciary Duty

April 18, 2020  |   Posted by :   |   Breach of Fiduciary Duty, Investment and Regulatory News, Private Placement Fraud, Securities Arbitration Claims, Unsuitable Investment Recommendations   |   Comments Off on Investors File Claim Against Money Concepts For Breach Of Fiduciary Duty

Darren Wayne Oglesby of Oakdale Minnesota a stockbroker currently associated with Money Concepts Capital Corp has been referenced in a customer initiated investment related arbitration claim in which the customer requested $100,000.00 in damages supported by allegations that (1) a fiduciary duty that was owed to the customer had been breached by Oglesby (2) a […]

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Investors Blame Money Concepts For Omissions

Dustin Paul Shafer of Boca Raton Florida a stockbroker formerly registered with Money Concepts Capital Corp. is referenced in a customer initiated investment related written complaint on September 30, 2019 where the customer requested $90,000.00 in damages founded on accusations that (1) the customer was placed into an unsuitable real estate investment trust product by […]

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Money Concepts Accused By Investors Of Fraud

Ray Gene Reese of Farmington Missouri a stockbroker formerly registered with Money Concepts Capital Corp is the subject of a customer initiated investment related complaint on May 8, 2018 where the customer requested $75,000.00 in damages based upon allegations of misrepresentations being made to the customer concerning the liquidity of a real estate security sold […]

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Money Concepts Capital Corp Sued For Suitability

Donald Edward Graves of Greenfield Massachusetts is a stockbroker currently registered with Money Concepts Capital Corp who is the subject of a customer initiated investment related arbitration claim which settled for sixty-five thousand dollars in damages supported by allegations of inappropriate Aztec drilling program transactions having been effected in the customer’s account. Financial Industry Regulatory […]

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Money Concepts Broker Fined For Unauthorized Trading

February 20, 2018  |   Posted by :   |   Investment and Regulatory News, Unauthorized Trading   |   0 Comments

Guy Charles Conger of San Antonio Texas is a former stockbroker of Money Concepts Capital Corp who has been fined fifteen thousand dollars and suspended for six months from associating with any Financial Industry Regulatory Authority (FINRA) member in any capacity based upon consenting to findings that he (1) utilized discretion in customer accounts in […]

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Customer Filed Arbitration Against Money Concepts Capital Corp

May 30, 2017  |   Posted by :   |   Non-traded REITs, Securities Arbitration Claims   |   0 Comments

Dustin Paul Shafer, of Springfield, Illinois, a stockbroker currently registered with Money Concepts Capital Corp., has been named in a customer initiated investment related written complaint on April 10, 2017, in which the customer requested $75,000.00 in damages based upon allegations that Shafer made poor investment recommendations to the customer about real estate security products, […]

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Customers File Arbitration Claim Against Money Concepts Capital

September 17, 2016  |   Posted by :   |   Securities Arbitration Claims   |   0 Comments

Craig Sutherland, of Columbus, Ohio, a stockbroker with Money Concepts Capital Corp, is subject to a pending customer dispute from January 29, 2016. Particularly, the customer requested $300,000.00 in damages in connection with allegations against Sutherland of negligence, making misrepresentations to the customer, breach of fiduciary duty, breach of contract, and effecting transactions that were […]

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