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Richard Rodriguez Formerly With Calton & Associates And Concorde Investment Services Has 5 Customer Complaints For Alleged Broker Misconduct

Who is Richard Rodriguez formerly with Calton & Associates?

Richard Rodriguez (CRD #2973254) who was formerly registered with Calton & Associates and located in Fruitland Park, Florida is a subject of one of our many securities industry sales practice abuse investigations. Prior to Calton & Associates, Richard Rodriguez was associated with Concorde Investment Services and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Richard Rodriguez Customer Complaints

Richard Rodriguez has been the subject of 5 customer complaints that we know about. Three of Richard Rodriguez’s 5 customer complaints were settled in favor of investors. One of Richard Rodriguez’s customers’ complaints was denied and, to date, the customer has not taken any further action. There is currently one pending customer complaint filed against Concorde Investment Services for investment losses caused by Richard Rodriguez’s alleged misconduct.

Allegations Against Richard Rodriguez

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

  • Richard Rodriguez’s alleged Breach of Fiduciary Duty, Breach of Contract and Negligence.
  • Client claimed they were not told about the liquidity features and risk of non-traded REIT purchases allegedly made by Richard Rodriguez.
  • Richard Rodriguez’s unsuitable mutual fund recommendation alleged by client.

Richard Rodriguez Red Flags & Your Rights As An Investor

Of course, Richard Rodriguez 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 Rodriguez at Calton & Associates and Concorde Investment Services on alert to review carefully the activity and performance of their accounts and question whether Richard Rodriguez has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Calton & Associates and Concorde Investment Services 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 Calton & Associates Due To Richard Rodriguez

If you have questions about Calton & Associates, Concorde Investment Services, and/or Richard Rodriguez 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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