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Richard Thomas Ragold Of Capitol Securities Management Has 2 Customer Complaints for Alleged Broker Misconduct

Who is Richard T. Ragold of Capitol Securities Management?

Richard Ragold (CRD #1808168) who is currently registered with Capitol Securities Managementand located in Florham Park, New Jersey is a subject of one of our many securities industry sales practice abuse investigations.

Prior to Capitol Securities Management, Richard Ragold was associated with Oppenheimer & Co. and 2 other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Capital Securities Management Broker Misconduct

In his career, Richard Ragold has been the subject of 2 customer complaints that we know about. Both of Richard Ragold’s customer complaints were settled in favor of investors.

Allegations Against Richard Ragold

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

  • The client alleged that Richard Ragold selected investments that were unsuitable for the investment portfolio.
  • The client alleges Richard Ragold engaged in churning, unauthorized and unsuitable trading in his account.

Richard Ragold Red Flags & Your Rights as An Investor

Of course, Richard Ragold 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 Richard Ragold at Capitol Securities Management on alert to review carefully the activity and performance of their accounts and question whether Richard Ragold has engaged in any stockbroker misconduct that may have caused them investment losses.

There have been a large number of customer complaints at Capitol Securities Management which also raises questions about its 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 Capitol Securities Management

If you have questions about Capitol Securities Management and/or Richard Ragold 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 has been a trial attorney for more than 40 years and is the founding partner of The Law Offices of Robert Wayne Pearce. You can learn more about Robert and his accomplishments by clicking here.

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