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Broker J. Randall Gladden Named in FINRA Complaint

J. Randall GladdenThe securities and investment fraud law firm Fitapelli Kurta is investigating allegations of misconduct against California-based Securities Equity Group broker/adviser J. Randall Gladden (CRD# 1789356).

Randall Gladden has spent twenty years in the securities industry and has been registered with Securities Equity Group in El Cajon, California since 2002. Previous registrations include Securities Service Network in Knoxville, Tennessee (1997-2002) and Securities America in La Vista, Nebraska (1995-1997). He is a registered broker and investment adviser in California.

According to his BrokerCheck report, J. Randall Gladden is the subject of two customer complaints, two regulatory sanctions, and one pending Financial Industry Regulatory Authority (FINRA) complaint.

In 2015 J. Randall Gladden was named respondent in a FINRA complaint alleging he engaged in private securities transactions, for which he received compensation, without providing prior written notice to his member firm, Securities Equity Group. According to FINRA’s allegations, Mr. Gladden “conceived of and participated in creating two companies to make loans to churches, for the acquisition, construction, improvement and/or refinancing of real estate.” He allegedly “also solicited seven investors to collectively invest more than $2.1 million in the companies through purchases of securities,” and later “falsely informed his firm that he had not ‘engaged in any capital raising activities for any company, corporation or business entity’” on firm compliance certifications. FINRA is seeking unspecified sanctions in the pending complaint.

In 1996 CFTC sanctioned J. Randall Gladden following allegations he failed to comply with a final reparations order. Mr. Gladden was prohibited from trading on any contract market.

In 1995 a customer alleged J. Randall Gladden, while employed at Heritage West Financial, breached his fiduciary duty, misrepresented material facts, churned the account, executed unauthorized trades, and engaged in non-disclosure. The complaint resulted in an award to the customer of $1,000.

In 1995 a customer alleged J. Randall Gladden, while employed at Sterling Investments, executed an unauthorized trade. The complaint resulted in an award to the customer of $10,000.

If you have lost money investing with J. Randall Gladden, call the securities and investment fraud law firm Fitapelli Kurta at 877-238-4175 without delay. You may be entitled to recoup your losses. We accept all cases on contingency: Fitapelli Kurta only gets paid if and when you collect money. Time to file your claim may be limited, so we recommend you avoid delay. Call 877-238-4175 now to speak to an attorney for free.