Pennsylvania-based RBC Capital Markets broker/adviser Stephen Walker is the subject of several customer complaints. The securities and investment fraud law firm Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Walker (CRD# 2368039).
Stephen Walker has spent 22 years in the securities industry and has been registered with: RBC Capital Markets in Philadelphia, Pennsylvania since March 2015. Previous registrations include Oppenheimer & Company in Philadelphia, Pennsylvania (2010-2015); Morgan Stanley Smith Barney in Philadelphia, Pennsylvania (2009-2010); Morgan Stanley & Company in Philadelphia, Pennsylvania (2007-2009); Morgan Stanley DW in Philadelphia, Pennsylvania (2001-2007); Deutsche Banc Alex Brown in New York, New York (2001); DB Alex Brown in Baltimore, Maryland (1997-2001); and Alex Brown & Sons (1993-1997). He is a registered broker and investment adviser in ten US states: California, Delaware, Florida, Louisiana, Massachusetts, New Jersey, New York, Pennsylvania, Utah, and Vermont.
According to his BrokerCheck report, Stephen Walker is the subject of two customer complaints and one denied customer complaint.
In January 2016 a customer alleged stockbroker Stephen Walker, while registered at Oppenheimer & Company, misrepresented and recommended an unsuitable investment. The customer sought $25,000 in damages in the complaint, which was denied.
In 2010 a customer alleged Stephen Walker, while employed at Morgan Stanley Smith Barney, over-concentrated the account and failed to disclose fees for closed-end funds. The complaint settled for $75,000.
In 2001 a customer alleged Stephen Walker, while a broker at Deutsche Banc Alex Brown, recommended unsuitable mutual funds. The complaint settled in 2003 for $8,250.
If you have lost money investing with Stephen Walker, you may be entitled to recoup your losses. 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, which means we only get paid if and when you collect money. Time to file your claim may be limited, so we encourage you to avoid delay. Call 877-238-4175 now to speak to an attorney for free.
This information is based on public records provided by the Financial Industry Regulatory Authority (FINRA) on March 11, 2016