DID RAYMOND WILLIAM CLARK CAUSE YOU INVESTMENT LOSSES?
Raymond Clark Formerly With Alexander Capital, L.P., Monmouth Capital Management LLC and Garden State Securities, Inc. Has 4 Customer Complaints For Alleged Broker Misconduct
Who is Raymond Clark formerly with Alexander Capital, L.P.?
Raymond Clark (CRD #2865619) who was formerly registered with Alexander Capital, L.P. and located in Red Bank, New Jersey, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Alexander Capital, L.P., Raymond Clark was associated with Monmouth Capital Management LLC, Garden State Securities, Inc. and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems. Raymond Clark has had his own problems with the regulators. The New Jersey Bureau of Securities recently revoked his license in that state. Further, FINRA permanently barred him from any further association with any member firm in any capacity for refusing to appear for en-the-record testimony in connection with FINRAs investigation of his role in a potential churning, excessive trading, and unauthorized trading case.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Raymond Clark Customer Complaints
Raymond Clark has been the subject of 4 customer complaints that we know about seeking to recover investment losses. Three of the customer complaints evolved into FINRA arbitration proceedings and settled by Raymond Clark’s former employer’s in favor of the investors. The other customer complaint also evolved into a FINRA arbitration proceeding against Monmouth Capital Management for his alleged misconduct, and it is still pending.
Allegations Against Raymond Clark
A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:
- Negligence, Churning, and Unauthorized trading.
- Misrepresentation in the unauthorized trading.
- Misrepresentation, sale of unsuitable securities, excessive and unauthorized trading, and breach of the advisors fiduciary duty and violation of Marilyn Uniform Securities Act.
Raymond Clark Red Flags & Your Rights As An Investor
Of course, Raymond Clark 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 Raymond Clark at Alexander Capital, L.P., Monmouth Capital Management LLC and Garden State Securities, Inc. on alert to review carefully the activity and performance of their accounts and question whether Raymond Clark has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Alexander Capital, L.P., Monmouth Capital Management LLC and Garden State Securities, Inc also raises questions about the brokerage firms’ supervisory 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 Alexander Capital, L.P. Due To Raymond Clark
If you have questions about Alexander Capital, L.P., Monmouth Capital Management LLC, Garden State Securities, Inc. and/or Raymond Clark 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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