Tag Archives: Money Concepts Capital Corporation

Investors Bring FINRA Arbitration Claim Against Money Concepts For Breach Of Fiduciary Duty

November 30, 2020  |   Posted by :   |   Breach of Fiduciary Duty, FINRA Securities Arbitration, Investment and Regulatory News, Non-traded REITs, Securities Arbitration Claims   |   Comments Off on Investors Bring FINRA Arbitration Claim Against Money Concepts For Breach Of Fiduciary Duty

Christopher Paul Puffer of Louisville Kentucky a stockbroker formerly registered with Money Concepts Capital Corp and Money Concepts Advisory Services is the subject of a customer initiated investment related arbitration claim that was settled for $14,500.00 in damages based upon allegations of negligence and a breach of contract governing the customer’s alternative investment purchases including […]

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Money Concepts Capital Corp Sued For Negligence

Craig Alan Sutherland of Columbus Ohio a stockbroker registered with Money Concepts Capital Corp is the subject of a customer initiated investment related arbitration claim in which an Arbitration Panel ordered Money Concepts Capital Corp to pay the customer $698,979.00 in compensatory damages based on finding the firm liable on the customer’s claims including (1) […]

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Money Concepts Capital Corp Named In Arbitration Alleging Misrepresentation

November 18, 2016  |   Posted by :   |   Variable Annuites   |   0 Comments

Ray Reese, of Farmington, Missouri, a stockbroker currently associated with Money Concepts Capital Corporation, has become subject to a customer initiated investment related arbitration claim on February 26, 2016, in which the customer has requested $125,000.00 in damages based upon allegations that Reese misstated the customer’s financial profile, and made investment recommendations which led the […]

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