DID RICHARD WILLIAM KELTON CAUSE YOU INVESTMENT LOSSES?
Richard Kelton Of Raymond James Financial Services, Raymond James Financial Services Advisors And Formerly With Northwestern Mutual Investment Services Has A Customer Complaint For Alleged Broker Misconduct
Who is Richard Kelton of Raymond James Financial Services?
Richard Kelton (CRD #2473749) who is currently registered with Raymond James Financial Services, Raymond James Financial Services Advisors and located in Latham, New York is a subject of one of our many securities industry sales practice abuse investigations. Prior to Raymond James Financial Services and Raymond James Financial Services Advisors, Richard Kelton was associated with Northwestern Mutual Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.
Richard Kelton Customer Complaint
Richard Kelton has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were unsuitable investment recommendations. Richard Kelton’s customer complaint was denied and, to date, the customer has not taken any further action.
Richard Kelton Red Flags & Your Rights As An Investor
Of course, Richard Kelton 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 Kelton at Raymond James Financial Services, Raymond James Financial Services Advisors and Northwestern Mutual Investment Services on alert to review carefully the activity and performance of their accounts and question whether Richard Kelton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Raymond James Financial Services, Raymond James Financial Services Advisors and Northwestern Mutual Investment Services also raises questions about the brokerage firm’s supervisory practices. If these red flags raise questions, call us and we will inform you of your rights as an investor.
File A Claim To Recover Your Investment Losses At Raymond James Financial Services Due To Richard Kelton
If you have questions about Raymond James Financial Services, Raymond James Financial Services Advisors, Northwestern Mutual Investment Services, and/or Richard Kelton 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.
Rate this Post
Loading...