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Jeffrey Fladell Formerly With RBC Capital Markets, LLC Has 11 Customer Complaints For Alleged Broker Misconduct

Who is Jeffrey Fladell formerly with RBC Capital Markets, LLC?

Jeffrey Fladell (CRD #209278) who was formerly registered with RBC Capital Markets, LLC and located in Florham Park, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.

Jeffrey Fladell Customer Complaints

Jeffrey Fladell has been the subject of 11 customer complaints that we know about. One of Jeffrey Fladell’s 11 customer complaints resulted in an arbitration award in favor of investors. Ten of Jeffrey Fladell’s 11 other customer complaints were settled in favor of investors.

Allegations Against Jeffrey Fladell

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

  • Claimant alleged Jeffrey Fladell’s investments in municipal bonds were unsuitable and over-concentrated and her account was churned.
  • Claimant alleged misrepresentation of investments in municipal bonds by Jeffrey Fladell.
  • Claimant alleged Jeffrey Fladell’s unsuitable investments and over concentration in municipal bonds adverse to his investment objective of principal protection caused substantial losses.
  • Claimants alleged Jeffrey Fladell’s investments in Puerto Rico bonds were unsuitable and misrepresented their risk.
  • Claimants alleged they were over concentrated and invested in unsuitable Puerto Rico bonds by Jeffrey Fladell.
  • Claimants alleged Jeffrey Fladell’s unsuitable investments and over concentration in municipal bonds adverse to their investment objective.
  • Customer alleged a security by Jeffrey Fladell that she purchased which defaulted was too great a percentage of her portfolio.
  • Customer alleged unsuitable recommendations of Puerto Rico bonds by Jeffrey Fladell.
  • Customer alleged unsuitable investments in municipal bonds made by Jeffrey Fladell.
  • Customers alleged that various strategies employed by Jeffrey Fladell were unsuitable.

Jeffrey Fladell Red Flags & Your Rights As An Investor

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

If you have questions about RBC Capital Markets, LLC and/or Jeffrey Fladell 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 $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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