Richard Ball Ryan, of Hyannis, Massachusetts, a stockbroker formerly registered with Wells Fargo Clearing Services, Inc., is the subject of a customer initiated investment related arbitration claim on May 2, 2017, wherein the customer requested $250,000.00 in damages supported by allegations that Ryan made unsuitable investment recommendations to the customer pertaining to mutual fund products.
Financial Industry Regulatory Authority (FINRA) Public Disclosure reveals that Ryan has been identified in two more customer initiated investment related disputes containing allegations of his misconduct while employed with Wells Fargo Advisors, LLC, and First Albany Capital Inc. In particular, on January 23, 2004, a customer filed an investment related written complaint involving Ryan’s conduct, in which the customer sought $6,000.00 in damages based upon allegations that Ryan effected unsuitable mutual fund transactions in the customer’s account.
Subsequently, on July 31, 2013, a customer filed an investment related written complaint regarding Ryan’s activities, in which the customer requested $250,000.00 in damages founded upon allegations that Ryan provided the customer with bogus information concerning investments and made omissions relating to stock transactions effected in the customer’s account.
Guiliano Law Group
Our practice is limited to the representation of investors. We accept representation on a contingent fee basis, meaning there is no cost to you unless we make a recovery for you. There is never any charge for a consultation or an evaluation of your claim. For more information, contact us at (877) SEC-ATTY.
For more information concerning common claims against stockbrokers and investment professionals, please visit us at securitiesarbitrations.com
To learn more about FINRA Securities Arbitration, and the legal process, please visit us at securitiesarbitrations.com
