DID RICHARD RANDAL HAUPT CAUSE YOU INVESTMENT LOSSES?
About Richard Haupt of TIAA-CREF Individual & Institutional Services, LLC?
Richard Haupt (CRD #4212929) is a financial advisor currently employed by TIAA-CREF Individual & Institutional Services, LLC in Lewisville, Texas, since February 14, 2022. He is licensed across an extensive network of 52 U.S. states and territories. Haupt has passed three general industry/product exams (Securities Industry Essentials, General Securities Representative, and Investment Company Products/Variable Contracts Representative Exams) and one multi-state securities law exam (Uniform Securities Agent State Law Exam). His career has spanned various financial firms, including Allstate Financial Services, LPL Financial LLC, and Nationwide Securities, LLC, demonstrating a broad and varied experience in the financial sector.
Investment Losses? Let’s talk.or, give us a ring at (800) 732-2889.
Richard Haupt Customer Complaints and Reviews
Richard Randal Haupt has been involved in one reported customer dispute:
- Nature of the Complaint: The dispute, which is currently pending, dates to an investment decision made in 2013. The complaint was filed on March 18, 2024, with allegations that the investment was unsuitable for the client’s investment objectives and risk tolerance. The specific investment involved was real estate security.
Allegations Against Richard Haupt
The specific allegations made against Richard Randal Haupt in the pending customer dispute are as follows:
- Unsuitability: Haupt is accused of recommending an investment in a real estate security in 2013 that did not align with the client’s financial goals and risk profile.
- Investment Details: The investment in question was reported to be significantly misaligned with the client’s needs, leading to the formal complaint filed with FINRA.
Richard Haupt Red Flags & Your Rights As An Investor
Of course, Richard Haupt 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 Richard Haupt at TIAA-CREF Individual & Institutional Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Richard Haupt has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at TIAA-CREF Individual & Institutional Services, LLC 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 TIAA-CREF Individual & Institutional Services, LLC Due To Richard Haupt
If you have questions about TIAA-CREF Individual & Institutional Services, LLC and/or Richard Haupt 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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