| Read Time: 2 minutes | News & Articles |

DID GREGORY TIMOTHY DUDZIK CAUSE YOU INVESTMENT LOSSES?

Gregory Dudzik Of RBC Capital Markets, LLC And Formerly With Janney Montgomery Scott LLC Has 4 Customer Complaints For Alleged Broker Misconduct

Who is Gregory Dudzik of RBC Capital Markets, LLC?

Gregory Dudzik (CRD #1133671) who is currently  registered with RBC Capital Markets, LLC and located in Providence, Rhode Island is a subject of one of our many securities industry sales practice abuse investigations.  Prior to RBC Capital Markets, LLC, Gregory Dudzik was associated with Janney Montgomery Scott LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Gregory Dudzik Customer Complaints

Gregory Dudzik has been the subject of 4 customer complaints that we know about to recover investment losses. One of the customer complaints resulted in an arbitration award in favor of the investor. The brokerage firm Janney Montgomery Scott settled two customer complaints in favor of the investors. The last customer complaint was denied by the brokerage firm, and to date, the customer is not taking any further action.

Allegations Against Gregory Dudzik

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

  • Financial advisor failed to work in client’s best interests and excessively traded the customer’s account.
  • Failure to fully disclose fees.
  • Recommendation of an excessive number of closed-end fund transactions in our portfolio.
  • Breach of fiduciary duty, unsuitable recommendations, and negligence related to Energy Limited Partnerships.

Gregory Dudzik Red Flags & Your Rights As An Investor

Of course, Gregory Dudzik 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 Gregory Dudzik at RBC Capital Markets, LLC and Janney Montgomery Scott LLC on alert to review carefully the activity and performance of their accounts and question whether Gregory Dudzik has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets, LLC and Janney Montgomery Scott 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 RBC Capital Markets, LLC Due To Gregory Dudzik

If you have questions about RBC Capital Markets, LLC, Janney Montgomery Scott LLC, and/or Gregory Dudzik 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 $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.

Rate this Post

1 Star2 Stars3 Stars4 Stars5 Stars
Loading...