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Ryan Fleming Of Royal Alliance Associates And Formerly With Hornor, Townsend & Kent And Advisory Resource Group Has 2 Customer Complaints For Alleged Broker Misconduct

Who is Ryan Fleming of Royal Alliance Associates?

Ryan Fleming (CRD #4378425) who is currently registered with Royal Alliance Associates and located in Bellevue, Washington is a subject of one of our many securities industry sales practice abuse investigations. Prior to Royal Alliance Associates, Ryan Fleming was associated with Hornor, Townsend & Kent, Advisory Resource Group and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Ryan Fleming Customer Complaints

Ryan Fleming has been the subject of 2 customer complaints that we know about, which were filed in the last year to recover investment losses. Both of the customers’ complaints filed against Ryan Fleming’s former employer Hornor, Townsend & Kent for investment losses caused by the alleged misconduct are pending as of the date of this report.

Allegations Against Ryan Fleming

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

  • Client alleged that certain REIT investments recommended to them were not suitable, and resulted in losses.
  • Arbitration claim alleged that Ryan Fleming recommended unsuitable investments for client’s IRA portfolios. It alleged breach of fiduciary duty and negligence, and request rescission, compensatory damages, lost opportunity costs, unspecified punitive damages, interest, costs and attorneys’ fees.

Ryan Fleming Red Flags & Your Rights As An Investor

Of course, Ryan Fleming 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 Ryan Fleming at Royal Alliance Associates, Hornor, Townsend & Kent, and Advisory Resource Group on alert to review carefully the activity and performance of their accounts and question whether Ryan Fleming has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at Royal Alliance Associates, Hornor, Townsend & Kent, and Advisory Resource Group 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 Royal Alliance Associates Due To Ryan Fleming

If you have questions about Royal Alliance Associates, Hornor, Townsend & Kent, Advisory Resource Group, and/or Ryan Fleming 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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