DID ORTHO FRANCIS EVANS JR CAUSE YOU INVESTMENT LOSSES?
About Ortho Evans, Jr. Of RBC Capital Markets, LLC?
Ortho Evans, Jr. (CRD #1199304) has an extensive background in the financial services industry and is currently registered with RBC Capital Markets, LLC in Houston, Texas, where he has been since March 2012. Throughout his career, Evans has been registered with numerous firms and holds licenses in 11 U.S. states and territories. He has passed two principal/supervisory exams, three general industry/product exams, and two multi-state securities law exams. His broad experience includes previous registrations at prestigious firms such as Morgan Stanley and several specialized securities firms, indicating a diverse and substantial presence in the brokerage community.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Ortho Evans, Jr. Customer Complaints and Reviews
Ortho Francis Evans Jr. has one reported customer dispute which was closed with no action:
- Customer Dispute (Closed-No Action): In March 2023, clients alleged that Evans misrepresented high-risk investments and breached his fiduciary duty. The complaint focused on structured products and was filed without articulated damages, although it was believed that damages could reasonably exceed $5,000. The complaint was denied in July 2023, with no further action required from Evans.
Allegations Against Ortho Evans, Jr.
The specific allegations against Ortho Francis Evans Jr. involved in the customer dispute are as follows:
- Misrepresentation and Breach of Fiduciary Duty: The clients accused Evans of misrepresenting the nature and risk of structured products, alleging that these actions were not in their best interests, thus breaching his fiduciary duty. Despite the serious nature of these allegations, the complaint was investigated and subsequently denied, indicating that the claims were not substantiated enough to warrant disciplinary action or a financial settlement.
Ortho Evans, Jr. Red Flags & Your Rights As An Investor
Of course, Ortho Evans, Jr. did not admit to any of the allegations. But regardless of whether an arbitration award was entered, a settlement occurred, or the customer complaint is still pending, the allegations made by customers are red flags which should put all current and former customers of Ortho Evans, Jr. at RBC Capital Markets, LLC on alert to review carefully the activity and performance of their accounts and question whether Ortho Evans, Jr. has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC also raises questions about the brokerage firm’ssupervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
Did You Lose Money Because of Broker Misconduct?
If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.
Need Legal Help? Let’s talk.or, give us a ring at 561-338-0037.
File A Claim To Recover Your Investment Losses At RBC Capital Markets, LLC Due To Ortho Evans, Jr.
If you have questions about RBC Capital Markets, LLC and/or Ortho Evans, Jr. and the management or performance of your accounts, please contact Attorney Pearce for a free initial consultation via email or Toll Free at 1-800-732-2889.
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