Securities Lawyers Blog
According to records kept by The Financial Industry Regulatory Authority (FINRA) financial Broker Stanley Cooper (Cooper), previously associated with RBC Capital Markets, LLC, has at least one disclosable event. These events include one customer complaint, alleging that Cooper recommended unsuitable investments in different investment products including debt securities among other allegations and complaints.
FINRA BrokerCheck shows a pending customer complaint with a damage request of $5,000.00 on July 18, 2024.
Alleged fraud and breach of fiduciary duty by failing to disclose information regarding Plaintiff’s withdrawals from trust account versus return on investments, and overconcentration / unsuitability of investments.
