DID THERESA ALLEN CAUSE YOU INVESTMENT LOSSES?

Theresa Allen Of RBC Capital Markets LLC And Formerly With First Republic Securities Company, LLC Has 3 Customer Complaints For Alleged Broker Misconduct

Who is Theresa Allen of RBC Capital Markets LLC?

Theresa Allen (CRD #2183693) who is currently registered as a broker and investment adviser with RBC Capital Markets LLC and located in Newport Beach, California, is a subject of one of our many securities industry sales practice abuse investigations. Prior to RBC Capital Markets LLC, Theresa Allen was associated with First Republic Securities Company, LLC and other investment advisory and brokerage firms with a history of customer complaints and securities industry regulatory problems.

Investment Losses? Let’s talk.

or, give us a ring at (800) 732-2889.

Theresa Allen Customer Complaints

Theresa Allen has been the subject of 3 customer complaints that we know about seeking to recover investment losses. The 3 customer complaints were recently filed for Theresa Allen’s alleged misconduct at First Republic Securities Co. or RBC Capital Markets. Two of the complaints are FINRA arbitration proceedings and the third is still residing with the employer.

Allegations Against Theresa Allen

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

• Adviser recommended unsuitable investments in First Republic Bank preferred stock.
• Advisor took unauthorized actions related to First Republic Bank preferred shares.
• Registered Representative recommended unsuitable investments in her employer’s preferred stock.

Theresa Allen Red Flags & Your Rights As An Investor

Of course, Theresa Allen 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 Theresa Allen at RBC Capital Markets LLC and First Republic Securities Company, LLC on alert to review carefully the activity and performance of their accounts and question whether Theresa Allen has engaged in any stockbroker misconduct that may have caused them investment losses. The large number of customer complaints at RBC Capital Markets LLC and First Republic Securities Company, LLC 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.

Did You Lose Money Because of Broker Misconduct?

If you have lost money due to negligence or fraud by a stockbroker or advisor, the easiest way to know if you have a case is to call our office at 800-732-2889. Our investment fraud attorneys will evaluate your claim for free and let you know if we can help you recover your losses.

Need Legal Help? Let’s talk.

or, give us a ring at 561-338-0037.

File A Claim To Recover Your Investment Losses At RBC Capital Markets LLC Due To Theresa Allen

If you have questions about about RBC Capital Markets LLC, First Republic Securities Company, LLC 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.

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

Loading...