The securities and investment fraud law firm Fitapelli Kurta is interested in speaking to investors who have complaints regarding New York-based Matrix Capital broker John Eugster (CRD# 2776666).
John Eugster has spent seventeen years in the securities industry and has been registered with Matrix Capital Group in New York, New York since 2010. Previous registrations include H. Roark & Associates in Reno, Nevada (2010); Waveland Capital Partners in San Francisco, California (2009-2010); Advanced Equities in San Francisco, California (2005-2008); Wachovia Securities in St. Louis, Missouri (2002-2005); CIBC World Markets Group in New York, New York (1999-2002); and Bear Stearns & Company in New York, New York (1997-1998). One of Mr. Eugster’s former employers, H. Roark & Associates, has since been expelled by the Financial Industry Regulatory Authority (FINRA). He is a registered broker in California, Colorado, Connecticut, Illinois, New York, and Texas.
According to his BrokerCheck report, John Eugster is the subject of one regulatory sanction, one customer complaint, and four customer complaints that were closed or denied. He was additionally discharged from his position at Wachovia Securities.
In 2007 the National Association of Securities Dealers (NASD) sanctioned John Eugster following allegations he engaged in a private securities transaction, for which he received compensation, without providing prior notice to or obtaining approval from his member firm, Wachovia Securities. Mr. Eugster was issued a fine of $10,000 and a two-month suspension from the securities industry.
In 2005 John Eugster was terminated from his position at Wachovia Securities following allegations he failed to comply with firm policy regarding the solicitation of investments.
In 1999 a customer alleged John Eugster, while employed at Bear Stearns & Company, executed excessive and unauthorized trades. The customer sought more than $5,000 in damages in the complaint, which was closed with no action taken.
In 1999 a customer alleged John Eugster, while employed at Bear Stearns & Company, made excessive and unsuitable trades. The customer sought $46,000 in damages in the complaint, which was closed with no action taken.
In 1998 a customer alleged John Eugster, while employed at Bear Stearns & Company, executed unauthorized and unsuitable trades. The complaint settled in 2000 for $15,000.
If you have lost money investing with John Eugster, you may be entitled to recoup lost funds. Call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 for a free consultation. All cases are taken on a contingency basis: we only get paid if and when you recover money. You may have a limited window to file your claim, so we suggest you avoid delay. Call 877-238-4175 now to speak to an attorney for free.