| Read Time: 2 minutes |


David Zupek Of Concorde Investment Services, LLC Has 6 Customer Complaints For Alleged Broker Misconduct

Who is David Zupek of Concorde Investment Services, LLC?

David Zupek (CRD #2250376) who is currently registered with Concorde Investment Services, LLC and located in Racine, Wisconsin is a subject of one of our many securities industry sales practice abuse investigations.

David Zupek has been the subject of 6 customer complaints that we know about, 1 of those complaints was filed in the last year to recover investment losses.  All 6 of David Zupek’s customer complaints were settled in favor of investors.

Allegations Against David Zupek

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

  • Breach of fiduciary duty, misrepresentation, and violations of FINRA rules related to direct and/or limited partnership investments
  • Breach of fiduciary duty and negligence related to direct and/or limited partnership investments
  • Excessive and unauthorized trading
  • Unsuitable investment strategy recommendation
  • Unauthorized switches within investments with variable annuity
  • Misrepresentation and unsuitable recommendations of mutual funds and life insurance

David Zupek Red Flags & Your Rights As An Investor

Of course, David Zupek 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 Zupek at Concorde Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether David Zupek 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 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 Concorde Investment Services, LLC Due To David Zupek

If you have questions about Concorde Investment Services, LLC and/or David Zupek 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.

Author Photo

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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars