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Meredith Ann McCutchen formerly with Moody Securities, LLC Has 5 Customer Complaints for Alleged Broker Misconduct

Who is Meredith A. McCutchen formerly with Moody Securities, LLC?

Meredith McCutchen (CRD #5989501) who was formerly registered with Moody Securities, LLC and located in Houston, Texas is a subject of one of our many securities industry sales practice abuse investigations. Prior to Moody Securities, LLC, Meredith McCutchen was associated with Concorde Investment Services, LLC and 2 other brokerage firms with a history of customer complaints and securities industry regulatory problems.

Concorde Investment Services Broker Misconduct

In her career, Meredith McCutchen has been the subject of 5 customer complaints that we know about, 3 of those complaints were filed in the last year to recover investment losses. Three of Meredith McCutchen’s 5 customer complaints were settled in favor of investors. There is currently one pending customer complaint filed against Meredith McCutchen’s former employer Moody Securities, LLC for investment losses caused by her alleged misconduct.

Allegations Against Meredith McCutchen

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

  • The claimant alleges that the financial advisor recommended an investment in UDF IV, the day before trading was halted and that this was not an unsuitable recommendation due to the risk involved in the high concentration of alternative vestments already in the customer’s accounts.
  • The client alleged that the financial advisor made unsuitable recommendations to invest in equipment leasing, oil and gas, and real estate alternative investments.
  • Claimant alleged misrepresentation, breach of fiduciary duty, negligence, suitability, and fraud relating to investments made in an individual retirement account.
  • The client alleged unsuitable recommendations of REITs.

Meredith McCutchen Red Flags & Your Rights as An Investor

Of course, Meredith McCutchen 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 that should put all current and former customers of Meredith McCutchen at Moody Securities, LLC and Concorde Investment Services, LLC on alert to review carefully the activity and performance of their accounts and question whether Meredith McCutchen 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 Meridith McCutchen raises questions about 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 Moody Securities, LLC

If you have questions about Moody Securities, LLC, Concorde Investment Services, LLC, and/or Meredith McCutchenand 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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