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.
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