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David Paton Of The Oak Ridge Financial Services Group And Formerly With RBC Capital Markets Has 3 Customer Complaints For Alleged Broker Misconduct

Who is David Paton of The Oak Ridge Financial Services Group?

David Paton (CRD #1746167) who is currently registered with The Oak Ridge Financial Services Group and located in Woodbury, Minnesota is a subject of one of our many securities industry sales practice abuse investigations. Prior to The Oak Ridge Financial Services Group, David Paton was associated with RBC Capital Markets and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

David Paton Customer Complaints

David Paton has been the subject of 3 customer complaints that we know about, one of those complaints was filed in the last year to recover investment losses. Two of David Paton’s 3 customer complaints were settled in favor of investors. One of David Paton’s customers’ complaints was denied and, to date, the customer has not taken any further action.

Allegations Against David Paton

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

  • Client claimed that an equity she purchased from David Paton was high risk and too large in size for her account.
  • Clients alleged that David Paton’s investment holdings of CGIX and SSYS, initially purchased, were not suitable based on their risk tolerance.

David Paton Red Flags & Your Rights As An Investor

Of course, David Paton 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 David Paton at The Oak Ridge Financial Services Group and RBC Capital Markets on alert to review carefully the activity and performance of their accounts and question whether David Paton has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at The Oak Ridge Financial Services Group and RBC Capital Markets 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.

File A Claim To Recover Your Investment Losses At The Oak Ridge Financial Services Group Due To David Paton

If you have questions about The Oak Ridge Financial Services Group, RBC Capital Markets, and/or David Paton 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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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 $160 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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