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Daniel Raupp Of Concorde Investment Services, LLC Has 12 Customer Complaints For Alleged Broker Misconduct

Who is Daniel Raupp of Concorde Investment Services, LLC?

Daniel Raupp

Daniel Raupp (CRD #4079107) who is currently registered as a broker with Concorde Investment Services, LLC and located in Setauket, New York, is a subject of one of our many securities industry sales practice abuse investigations. Prior to Concorde Investment Services, LLC, Daniel Raupp was associated with other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

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Daniel Raupp Customer Complaints

Daniel Raupp has been the subject of 12 customer complaints that we know about seeking to recover investment losses. Nine of the customer complaints were settled by Daniel Raupp’s employers in favor the investors. Only one customer complaint was denied by Concorde Investment Services and thus far does not appear that the investor has taken any further action. The other customer complaint was denied by J.P. Turner & Co. in the investor did not take any further action. There is currently one FINRA arbitration proceeding still pending against Concorde Investment Services for the advisor’s alleged misconduct.

Allegations Against Daniel Raupp

A sample of the allegations made in the FINRA reported arbitration claim settlements and/or pending complaints for investment losses are as follows:

  • Suitability, misrepresentation, in violation of FINRA rules.
  • Failure to fully disclose nature of investment tied to construction sector.
  • Misrepresentation and suitability in relation to limited partnership investments.
  • Breach of fiduciary duty, misrepresentation and suitability related to limited partnership investments.
  • Recommendations to invest in real estate securities were unsuitable.
  • Recommendations to invest in non-traded REITs were unsuitable.
  • Violation of FINRA suitability rule, fraud, violation of New York consumer protection act, fraud, and breach of fiduciary duty in connection with limited partnership investments.

Daniel Raupp Red Flags & Your Rights As An Investor

Of course, Daniel Raupp 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 Daniel Raupp at Concorde Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Daniel Raupp has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Concorde Investment Services, LLC 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.

Did You Lose Money Because of Broker Misconduct?

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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 Concorde Investment Services, LLC Due To Daniel Raupp

If you have questions about Concorde Investment Services, LLC and/or Daniel Raupp 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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Robert Wayne Pearce

Robert Wayne Pearce of The Law Offices of Robert Wayne Pearce, P.A. has been a trial attorney for more than 40 years and has helped recover over $170 million dollars for his clients. During that time, he developed a well-respected and highly accomplished legal career representing investors and brokers in disputes with one another and the government and industry regulators. To speak with Attorney Pearce, call (800) 732-2889 or Contact Us online for a FREE INITIAL CONSULTATION with Attorney Pearce about your case.

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