WARNING! Impending Investigation–RAYMOND T. CLARK and DYNASTY CAPITAL PARTNERS
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 recently barred Raymond Clark from the securities industry for failing to respond to an investigation. Clark was being investigated by FINRA in connection with allegations 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.
Clark was also alleged that to have 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.
Broker-dealers like 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, 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 here to view FINRA Complaint against Raymond Clark: Clark FINRA Complaint