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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Tag Archives: Money Concepts Capital Corporation
Investors Bring FINRA Arbitration Claim Against Money Concepts For Breach Of Fiduciary Duty
November 30, 2020 | Posted by : Guiliano Law Group | 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
Money Concepts Capital Corp Sued For Negligence
August 27, 2019 | Posted by : Guiliano Law Group | Breach of Fiduciary Duty, Failure to Conduct Due Diligence, Failure To Supervise, Investment and Regulatory News, Securities Arbitration Claims, Stockbroker Negligence, Unsuitable Investment Recommendations | 0 Comments
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) […]
Read More »Money Concepts Capital Corp Named In Arbitration Alleging Misrepresentation
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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