10.0David P Neuman
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WARNING! Impending Investigation–RAYMOND T. CLARK and DYNASTY CAPITAL PARTNERS

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30
Mar

WARNING! Impending Investigation–RAYMOND T. CLARK and DYNASTY CAPITAL PARTNERS

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Raymond T. Clark and Dynasty Capital Partners

Have you lost money with financial advisor Raymond T. Clark from Buffalo, New York?  We are currently investigating allegations made by FINRA (the Financial Industry Regulatory Authority) made against Clark.  FINRA filed a regulatory complaint against Clark in November 2014 for allegations regarding that he excessively traded or churned a customer’s account, that he made unauthorized trades in customers’ accounts, and that he exercised discretion in a customer account without permission.   After Clark failed to respond to the allegations, FINRA barred Raymond Clark from the securities industry on March 26, 2015 for failing to respond to the investigation.

Raymond Clark was also being investigated by FINRA in connection with allegations that Clark used an email address when communicating with customers that was not authorized by his firm, Dynasty Capital Partners.  Raymond Clark was previously suspended by FINRA for two months in 2012 for using an email address when communicating with customers that was not authorized by his firm.  He was also previously fined $5,000 for this conduct in 2012.

Raymond T. Clark was a registered representative and financial advisor with Dynasty Capital Partners from August 2010 to August 2014.  He was also registered with First MidWest Securities from May 2009 to August 2010 and with Paulson Investment Company from December 2008 to May 2009.

We currently represent an investor who lost money with Clark, when Clark excessively traded and churned his account.  The investor suffered losses while Clark was affiliated with Paulson Investment Company, First Midwest Securities, and Dynasty Capital Partners.

Broker-dealers like Paulson Investment Company, Dynasty Capital Partners, and First MidWest Securities have a responsibility to adequately supervise all representatives who are registered through their firm, including investments sold by their registered representatives.  Broker-dealers also must take steps to ensure that their financial advisors follow all securities rules and regulations, as well as internal firm policies.  When broker-dealers fail to adequately supervise their registered representatives, they may be liable for investment losses sustained by customers.

Our firm has previously represented investors all over the country, including investors throughout the State of New York.  Our firm has offices in Denver and the Seattle-area, but we continue to represent investors throughout the U.S.   If you have lost money with Raymond T. Clark, Paulson Investment Company, Dynasty Capital Partners, or First MidWest Securities, and want to hear about ALL legal options, please visit https://www.israelsneuman.com/ and go to our CONTACT page or call us at 720-599-3505.

Click to view:  Clark FINRA AWC

 

Israels & Neuman, PLC is a private law firm and is not affiliated with any government or law enforcement agency. Any investigation referenced in this blog is independent in nature and is being conducted by our law firm privately, not in conjunction with any government or law enforcement agency. All information contained in this blog should be deemed statements of opinion derived from the author’s review of public records, not statements of fact. This blog is advertising material and does not create an attorney client relationship, nor does it constitute legal advice. Everyone’s situation is different and the question of whether or not you have a claim will vary on a case-by-case basis. In contingent representation, clients may still be liable for costs.
10.0David P Neuman

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