| Read Time: 2 minutes |


Richard Groff Of Charles Schwab & Co. Has A Customer Complaint For Alleged Broker Misconduct

Who is Richard Groff of Charles Schwab & Co.?

Richard Groff (CRD #4177139) who is currently registered with Charles Schwab & Co. and located in Sandy Springs, Georgia is a subject of one of our many securities industry sales practice abuse investigations.

Richard Groff Customer Complaint

Richard Groff has been the subject of at least one customer complaint that we know about, which was filed in the last year to recover investment losses. The allegations made in the FINRA reported customer complaint for investment losses were she provided instructions to the representative to sell the ETF’s in her account and leave the funds in cash; instead he purchased shares of various securities with the proceeds. Richard Groff’s customer complaint was settled in favor of the investors.

Richard Groff Red Flags & Your Rights As An Investor

Of course, Richard Groff 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 Richard Groff at Charles Schwab & Co. on alert to review carefully the activity and performance of their accounts and question whether Richard Groff has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Charles Schwab & Co. also raises questions about the brokerage firm’s 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 Charles Schwab & Co. Due To Richard Groff

If you have questions about Charles Schwab & Co. and/or Richard Groff 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